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SECTION 4: Project Integration Management

Project Integration Management includes the process and activities to identify, define, combine, unify and
coordinate the various processes and project management activities within the Project Management Process
Groups. This includes making choices about:

• Resource allocation
• Balancing competing demands
• Examining any alternative approaches
• Tailoring the processes to meet the project objectives
• Managing the interdependencies among the Project Management Knowledge Areas

4.1 Develop Project Charter

Process Group PMBOK 5th Edition PMBOK 6th Edition

Initiating 4.1 Develop Project Charter 4.1 Develop Project Charter


Inputs .1 Project statement of work .1 Business Documents

.2 Business case .2 Agreements

.3 Agreements .3 Enterprise environmental factors

.4 Enterprise environmental factors .4 Organizational process assets

.5 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Facilitation techniques .2 Data gathering

.3 Interpersonal and team skills


.4 Meetings

Outputs .1 Project charter .1 Project charter

.2 Assumption log

New Inputs:

Business Documents: These documents include, but are not limited to:

a. Business Case – describes the necessary information to determine whether the expected outcomes of
the project justify the required investment

Clarification: Even though Agreements are not new to this edition, it is important to remember that they
represent a general grouping of project documents that define initial intentions for the project.

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New Tools:

Data Gathering: This includes techniques, many of which were previously referred to as Facilitation Techniques,
which can be used for this process, but are not limited to:

a. Brainstorming – identifies a list of ideas in a short period of time; comprises two parts: idea generation
and analysis
b. Focus Groups – bring together stakeholders and subject matter experts to learn about the perceived
project risk, success criteria, and other topics in a more conversational way than a one-on-one interview
c. Interviews – obtain information on high-level requirements, assumptions or constraints, approval
criteria, and other information from stakeholders by talking directly to them

Interpersonal and Team Skills: These skills that can be used for this process include, but are not limited to:

a. Conflict Management – helps bring stakeholders into alignment on the objectives, success criteria, high-
level requirements, project description, summary milestones, and other elements of the charter
b. Facilitation – ability to effectively guide a group event to a successful decision, solution, or conclusion
c. Meeting Management – includes preparing the agenda, ensuring that a representative for each key
stakeholder group is invited, and preparing and sending the follow-up minutes and actions

Meetings: They are held with key stakeholders to identify the project objectives, success criteria, key
deliverables, high-level requirements, summary milestones, and other summary information.

New Outputs:

Assumption Log: This log records all assumptions and constraints throughout the project life cycle.

4.2 Develop Project Management Plan

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 4.2 Develop Project Management 4.2 Develop Project Management


Plan Plan
Inputs .1 Project charter .1 Project charter

.2 Outputs from other processes .2 Outputs from other processes

.3 Enterprise environmental factors .3 Enterprise environmental factors

.4 Organizational process assets .4 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Facilitation techniques .2 Data gathering

.3 Interpersonal and team skills

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.4 Meetings

Outputs .1 Project management plan .1 Project management plan

New Inputs: None

New Tools:

Data Gathering: This includes activities, many of which were previously referred to as Facilitation Techniques,
which can be used for this process, but are not limited to:

a. Brainstorming – gathers ideas and solutions about the project approach Checklists – guides the project
manager to develop the plan or helps verify that all the required information is included in the project
management plan
b. Focus Groups – bring together stakeholders to discuss the project management approach and the
integration of the different components of the project management plan
c. Interviews – obtain specific information from stakeholders to develop the project management plan or
any component plan or project document

Interpersonal and Team Skills: These skills include, but are not limited to:

a. Conflict Management – brings diverse stakeholders into alignment on all aspects of the project
management plan
b. Facilitation – ensures that there is effective participation, that participants achieve a mutual
understanding, that all contributors are considered, and that conclusions or results have full buy-in
according to the decision process established for the project
c. Meeting Management – ensures that the numerous meetings that are necessary to develop, unify, and
agree on the project management plan are well run

Meetings: These are used for, but are not limited to:

a. Discuss the project approach


b. Determine how work will be executed to accomplish the project objectives
c. Establish the way the project will be monitored and controlled

The project kick-off meeting is very specific to this process to communicate the objectives of the project, gain
commitment of the team for the project, and explain the roles and responsibilities of each stakeholder

New Outputs: None

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4.3 Direct and Manage Project Work

Process Group PMBOK 5th Edition PMBOK 6th Edition

4.3 Direct and Manage Project 4.3 Direct and Manage Project
Work Work
Inputs .1 Project management plan .1 Project management plan

.2 Approved Change requests .2 Project documents

.3 Enterprise environmental factors .3 Approved change requests

.4 Organizational process assets .4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Project management information system .2 Project management information system

.3 Meetings .3 Meetings

Outputs .1 Deliverables .1 Deliverables

.2 Work performance data .2 Work performance data

.3 Change requests .3 Issue log

.4 Project management plan updates .4 Change requests

.5 Project documents updates .5 Project management plan updates

.6 Project documents updates

.7 Organizational process assets updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Change log – contains the status of all change requests


b. Lessons learned register – improve the performance of the project and to avoid repeating mistakes
c. Milestone list – shows the scheduled dates for specific milestones
d. Project Communications – include performance reports, deliverable status, and other information
generated by the project
e. Project Schedule – includes at least the list of work activities, their durations, resources, and planned
start and finish dates
f. Requirements traceability matrix – links product requirements to the deliverables that satisfy them
and helps to focus on the final outcomes
g. Risk register – provides information on threats and opportunities that may impact project execution
h. Risk report – provides information on sources of overall project risk along with summary information
on identified individual project risks

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New Tools: None

New Outputs:

Issue Log: This is a project document where all the issues are recorded and tracked.

Organizational Process Assets Updates: This includes updates to any organizational process asset in this
process.

4.4 Manage Project Knowledge

New Process:

Manage Project Knowledge: Process of using existing knowledge and creating new knowledge to achieve
the project's objectives and contribute to organizational learning.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 4.4 Manage Project Knowledge


Inputs .1 Project management plan

.2 Project documents

.3 Deliverables

.4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Expert judgment

.2 Knowledge management

.3 Information management

.4 Interpersonal and team skills

Outputs .1 Lessons learned register

.2 Project management plan updates

.3 Organizational process assets updates

New Inputs:

Project Management Plan: This includes all components of the project management plan.

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Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register – provides information on effective practices in knowledge management


b. Project team assignments – provide information on the type of competencies and experience
available in the project and the knowledge that may be missing
c. Resource breakdown structure – includes information on the composition of the team and may help
understand what knowledge is available as a group and what knowledge is missing
d. Stakeholder register – contains details about the identified stakeholders to help understand the
knowledge they may have

Deliverables: Any unique and verifiable product, result, or capability to perform a service that is required to
be produced to complete a process, phase, or project

Enterprise Environmental Factors: Factors that can influence this process include, but are not limited to:

a. Organization, stakeholder, and customer culture


b. Personnel administration
c. Geographic distribution of facilities and resources
d. Organizational knowledge experts
e. Project Schedule
f. Legal and regulatory requirements and/or constraints

Organizational Process Assets: The assets that can influence this process include, but are not limited to:

a. Organizational standard policies, processes, and procedures


b. Personal administration
c. Organizational communication requirements
d. Formal knowledge-sharing and information-sharing procedures

New Tools:

Expert Judgement: Expertise should be considered from individuals or groups with specialized knowledge or
training in the following topics:

a. Knowledge management
b. Information management
c. Organizational learning
d. Knowledge and information management tools
e. Relevant information from other projects

Knowledge Management: Tools and techniques which connect people, face-to-face or virtually, or both, so
they can work together to create new knowledge, share tacit knowledge, and integrate the knowledge of
diverse team members include, but are not limited to:

a. Networking
b. Communities of practice and special interest groups
c. Meetings
d. Work shadowing and reverse shadowing
e. Discussion forums such as focus groups
f. Knowledge-sharing events such as seminars and conferences
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g. Workshops, including problem-solving sessions and learning reviews designed to identify lessons
learned
h. Storytelling
i. Creativity and ideas management techniques
j. Knowledge fairs and cafes
k. Training involving interaction between learners

Information Management: The tools and techniques used to create and connect people to information in
order to share simple, unambiguous, codified explicit knowledge for this process include, but are not limited
to:

a. Methods for codifying explicit knowledge


b. Lessons learned register
c. Library services
d. Information gathering
e. Project management information system (PMIS)

Interpersonal and Team Skills: The skilled used for this process include, but are not limited to:

a. Active listening – helps reduce misunderstandings and improves communication and knowledge
sharing
b. Facilitation – helps to effectively guide a group to a successful decision, solution, or conclusion
c. Leadership – used to communicate the vision and inspire the project team to focus on the
appropriate knowledge and knowledge objectives
d. Networking – allows informal connections and relations among project stakeholders to be
established and creates the conditions to share tacit and explicit knowledge
e. Political awareness – helps the project manager to plan communications based on the project
e i o e t as ell as the o ga izatio ’s politi al e i o e t

New Outputs:

Lessons Learned Register: It can include the category and description of the situation. It may also include its
impact, recommendations, and proposed actions. The lessons learned register records challenges, problems,
and successes beginning early in the project and updated throughout the project

Project Management Plan Updates: Changes to the project management plan should go through the
o ga izatio ’s ha ge o t ol p o ess ia a ha ge e uest. Any component of the project management plan
may be updated as a result of this process

Organizational Process Assets Updates: All projects create new knowledge and some of which is codified,
embedded in deliverables, or embedded in improvements to processes and procedures as a result of this
process and can update existing assets as a result of this process

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4.5 Monitor and Control Project Work

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 4.4 Monitor and Control Project 4.5 Monitor and Control Project
Work Work
Inputs .1 Project management plan .1 Project management plan

.2 Schedule forecasts .2 Project documents

.3 Cost forecasts .3 Work performance information

.4 Validated changes .4 Agreements

.5 Work performance information .5 Enterprise environmental factors

.6 Enterprise environmental factors .6 Organizational process assets

.7 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Analytical techniques .2 Data analysis

.3 Project management information system .3 Decision making

.4 Meetings .4 Meetings

Outputs .1 Change requests .1 Work performance reports

.2 Work performance reports .2 Change requests

.3 Project management plan updates .3 Project management plan updates

.4 Project documents updates .4 Project documents updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Basis of estimates (described in 6.4.3.2)
c. Cost forecasts (described in 7.4.3.2)
d. Issue log (described in 4.3.3.3)
e. Lessons learned register (described in 4.4.3.1)
f. Milestone list (described in 6.2.3.3)
g. Quality reports (described in 8.2.3.1)
h. Risk register (described in 11.2.3.1)
i. Risk report (described in 11.2.3.2)
j. Schedule forecasts (described in 6.6.3.2)

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Agreements: Procurement agreements include terms and conditions, and may incorporate other items that
the buyer specifies regarding what the seller is to perform or provide. The project manager needs to oversee
any contracted work to make certain that all agreements meet the specific needs of the project while
adhering to organization procurement policies

New Tools:

Data Analysis: Techniques that can be used for this process include, but are not limited to:

a. Alternatives analysis (described in 9.2.2.5)


b. Cost-benefit analysis (described in 8.1.2.3)
c. Earned value analysis (described in 7.4.2.2)
d. Root cause analysis (described in 8.2.2.2)
e. Trend analysis – used to forecast future performance based on past results
f. Variance analysis – reviews the differences (or variances) between planned and actual performance

Decision Making: Technique that can be used for this process include, but are not limited to, voting. Voting
can include making decisions based on:

a. Unanimity
b. Majority
c. Plurality

New Outputs: None

4.6 Perform Integrated Change Control

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 4.5 Perform Integrated Change 4.6 Perform Integrated Change
Control Control
Inputs .1 Project management plan .1 Project management plan

.2 Work performance reports .2 Project documents

.3 Change requests .3 Work performance reports

.4 Enterprise environmental factors .4 Change requests

.5 Organizational process assets .5 Enterprise environmental factors

.6 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Meetings .2 Change control tools

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.3 Change control tools .3 Data analysis

.4 Decision making

.5 Meetings

Outputs .1 Approved change requests .1 Approved change requests

.2 Change log .2 Project management plan updates

.3 Project management plan updates .3 Project documents updates

.4 Project documents updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Basis of estimates (described in 6.4.3.2)


b. Requirements traceability matrix (described in 5.2.3.2)
c. Risk report (described in 11.2.3.2)

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Alternatives analysis (described in 9.2.2.5)


b. Cost-benefit analysis (described in 8.1.2.3)

Decision Makings: Techniques that can be used for this process include, but are not limited to:

a. Voting (described in 5.2.2.4)


b. Autocratic decision making – one individual takes the responsibility for making the decision for the
entire group
c. Multicriteria decision making (described in 8.1.2.4), which uses a decision matrix to provide a
systematic analytical approach to evaluate according to a set of predefined criteria

New Outputs: None

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4.7 Close Project or Phase

Process Group PMBOK 5th Edition PMBOK 6th Edition

Closing 4.6 Close Project or Phase 4.7 Close Project or Phase


Inputs .1 Project management plan .1 Project charter

.2 Accepted deliverables .2 Project management plan

.3 Organizational process assets .3 Project documents

.4 Accepted deliverables

.5 Business documents

.6 Agreements

.7 Procurement documentation

.8 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Analytical techniques .2 Data analysis

.3 Meetings .3 Meetings

Outputs .1 Final product, service, or result transition .1 Project documents updates

.2 Organizational process assets updates .2 Final product, service, or result


transition
.3 Final report

.4 Organizational process assets updates

New Inputs:

Project Charter: This documents the project success criteria, the approval requirements, and who will sign
off on the project

Project Documents: The project documents for this process include, but are not limited to:

a. Assumptions log (described in 4.1.3.2)


b. Basis of estimates (described in 7.2.3.2
c. Change log (described in 4.6.3.3)
d. Issue log (described in 4.5.3.3)
e. Lessons learned register (described in 4.3.3.1)
f. Milestone list (described in 6.2.3.3)
g. Project communications (described in 10.2.3.1)
h. Quality control measurements (described in 8.3.3.1)
i. Quality reports (described in 8.2.3.1)
j. Requirements documentation (described in 5.2.3.1)
k. Risk register (described in 11.2.3.1)
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l. Risk report (described in 11.2.3.2)

Business Documents: The business documents for this process include, but are not limited to:

a. Business case
b. Benefits management plan

Agreements: These include the requirements for formal procurement closure and are usually defined in the
terms and conditions of the contract and are included in the procurement management plan

Procurement Documentation: To close a contract, all procurement documentation is collected, indexed and
filed. Contract information that should be considered includes, but are not limited to:

a. Contract schedule, scope, quality and cost performance


b. Contract change documentation
c. Payment records
d. Inspection results
e. As- uilt pla s/d a i gs o as-de eloped do u e ts, a uals, t ou leshooti g a d othe
technical documentation

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Document analysis (described in 5.2.2.3)


b. Regression analysis – analyzes the interrelationships between different project variables that
contributed to the project outcomes to improve performance on future projects
c. Trend analysis (described in 4.5.2.2)
d. Variance analysis (described in 4.5.2.2)

New Outputs:

Project Documents Updates: The project documents that can be updated as a result of this process include,
but are not limited to the lessons learned register. This final lessons learned register may include
information on:

a. Benefits management
b. Accuracy of the business case
c. Project and development life cycles
d. Risk and issue management
e. Stakeholder engagement
f. Other project management processes

Final Report: The final report provides a summary of the project performance and can include:

a. Summary level description of the project or phase


b. Scope objectives

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c. Quality objectives
d. Cost objectives
e. Summary of the validation information for the final product, service, or result
f. Schedule objectives
g. Summary of how the final product, service, or result achieved the business needs
h. Summary of any risks or issues encountered on the project and how they were addressed

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SECTION 5: Project Scope Management

5.1 Plan Scope Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 5.1 Plan Scope Management 5.1 Plan Scope Management


Inputs .1 Project management plan .1 Project charter

.2 Project charter .2 Project management plan

.3 Enterprise environmental factors .3 Enterprise environmental factors

.4 Organizational process assets .4 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Meetings .2 Data analysis

.3 Meetings

Outputs .1 Scope management plan .1 Scope management plan

.2 Requirements management plan .2 Requirements management plan

New Inputs: None

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to alternatives
analysis. Evaluation is done of various way of:

a. Collecting and eliciting requirements


b. Elaborating the project and product scope
c. Creating the product
d. Validating the scope
e. Controlling the scope

New Outputs: None

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5.2 Collect Requirements

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 5.2 Collect Requirements 5.2 Collect Requirements


Inputs .1 Scope management plan .1 Project charter

.2 Requirements management plan .2 Project management plan

.3 Stakeholder management plan .3 Project documents

.4 Project charter .4 Business documents

.5 Stakeholder register .5 Agreements

.6 Enterprise environmental factors

.7 Organizational process assets

Tools & Techniques .1 Interviews .1 Expert judgment

.2 Focus groups .2 Data gathering

.3 Facilitated workshops .3 Data analysis

.4 Group creativity techniques .4 Decision making

.5 Group decision making techniques .5 Data Representation

.6 Questionnaires & surveys .6 Interpersonal and team skills

.7 Observations .7 Context diagram

.8 Prototypes .8 Prototypes

.9 Benchmarking

.10 Context diagrams

.11 Document analysis

Outputs .1 Requirements documentation .1 Requirements documentation

.2 Requirements traceability matrix .2 Requirements traceability matrix

New Inputs:

Project Management Plan: The portions of this document specifically applicable to this process include, but
are not limited to:

a. Scope management plan (described in 5.1.3.1)


b. Requirements management plan (described in 5.1.3.2)
c. Stakeholder engagement plan (described in 13.2.3.1)
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Project Documents: The project documents for this process include, but are not limited to:

a. Assumptions log (described in 4.1.3.2)


b. Lessons learned register (described in 4.3.3.1)
c. Stakeholder register (described in 13.1.3.1)

Business Documents: The business documents for this process includes the business case, which can define
required, desired, and non-mandatory criteria for meeting the business needs

Agreements: Will have both project and product requirements.

Enterprise Environment Factors: The factors that can influence this process include, but are not limited to:

a. O ga izatio ’s ultu e
b. Infrastructure
c. Personnel administration
d. Marketplace conditions

Organizational Process Assets: The assets that can influence this process include, but are not limited to:

a. Policies and procedures


b. Historical information
c. Lessons learned repository

New Tools:

Expert Judgment: Expert knowledge is considered from individuals/groups with specialized knowledge or
training in the following topics:

a. Business analysis
b. Requirements elicitation
c. Requirements analysis
d. Project requirements in previous similar projects
e. Diagramming techniques
f. Facilitation
g. Conflict management

Data Gathering: This includes activities, previously referred to as Facilitation or Group Creativity Techniques,
which can be used for this process, but are not limited to:

a. Brainstorming (described in 4.1.2.2)


b. Interviews
c. Focus groups
d. Questionnaires and surveys
e. Benchmarking (described in 8.1.2.2)

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Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Document analysis – including techniques often utilized by business analysts, but not limited to:
• Agreements
• Business plans
• Business process or interface documentation
• Business rules repositories
• Current process flows
• Marketing literature
• Problem/issue logs
• Policies and procedures
• Regulatory documentation such as laws, codes, or ordinances
• Requests for proposal
• Use cases

Decision Makings: Techniques that can be used for this process include, but are not limited to:

a. Voting: This is further divided into following:


i. Unanimity: Everyone have to agree to a decision
ii. Majority: More than 50% have to agree
iii. Plurality: The option with largest votes wins. It is not necessary that largest vote is majority.
b. Autocratic Decision Making: One person is responsible to take a decision.
c. Multi-criteria decision making: In order to reach to a decision, the project team has to consider
multiple criteria. These multiple criteria are used to rank these ideas.

Data Representation: Techniques that can be used for this process include, but are not limited to:

a. Affinity Diagram: The stakeholders identify large number of ideas and similar ideas are grouper
together.
b. Mind Mapping: The stakeholders identify large number of ideas through the process of backtracking.

Interpersonal and Team Skills: The skilled used for this process include, but are not limited to:

a. Nominal group Technique: Initially the stakeholders do brainstorming session and then do voting to
reach to a decision.
b. Observation/ o e satio , also k o as jo shado i g
c. Facilitation (described in 4.1.2.3) skills used, but are not limited to
• Joint application design/development (JAD)
• Quality function deployment (QFD)
• User stories

New Outputs: None

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5.3 Define Scope

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 5.3 Define Scope 5.3 Define Scope


Inputs .1 Scope management plan .1 Project charter

.2 Project charter .2 Project management plan

.3 Requirements documentation .3 Project documents

.4 Organizational process assets .4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Product analysis .2 Data analysis

.3 Alternatives generation .3 Decision making


.4 Interpersonal and team skills

.4 Facilitated workshops .5 Product analysis

Outputs .1 Project scope statement .1 Project scope statement

.2 Project documents updates .2 Project documents updates

New Inputs:

Project Management Plan: The component of this document that can be helpful in this process includes, but
is not limited to:

a. Scope management plan which documents how the project cope will be defined, validated and
controlled.

Project Documents: The project documents for this process include, but are not limited to:

a. Assumptions log (described in 4.1.3.2)


b. Requirements documentation (described in 5.2.3.1)
c. Risk Register (described in 11.2.3.1)

Enterprise Environmental Factors: Factors that can influence this process include, but are not limited to:

a. O ga izatio ’s ultu e
b. Infrastructure
c. Personnel administration
d. Marketplace conditions

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New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to alternatives
analysis.

Decision Makings: Techniques that can be used for this process include, but are not limited to:

a. Multicriteria decision analysis (described in 8.1.2.4)

Interpersonal and Team Skills: The skill used for this process include, but is not limited to facilitation
(described in 4.1.2.3).

New Outputs: None

5.4 Create WBS

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 5.4 Create WBS 5.4 Create WBS


Inputs .1 Scope management plan .1 Project management plan

.2 Project scope statement .2 Project documents

.3 Requirements documentation .3 Enterprise environmental factors

.4 Enterprise environmental factors .4 Organizational process assets

.5 Organizational process assets

Tools & Techniques .1 Decomposition .1 Expert judgment

.2 Expert judgment .2 Decomposition

Outputs .1 Scope baseline .1 Scope baseline

.2 Project documents updates .2 Project documents updates

New Inputs:

Project Management Plan: The component of this document that can be helpful in this process includes, but
is not limited to:

a. Scope management plan which documents how the WBS will be created from the project scope
statement and how the WBS will be maintained and approved

Project Documents: The project documents for this process include, but are not limited to:

a. Project scope statement (described in 5.3.3.1)

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b. Requirements documentation (described in 5.2.3.1)

New Tools: None

New Outputs: None

5.5 Validate Scope

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 5.5 Validate Scope 5.5 Validate Scope


Inputs .1 Project management plan .1 Project management plan

.2 Requirements documentation .2 Project documents

.3 Requirements traceability matrix .3 Verified Deliverables

.4 Verified deliverables .4 Work performance data

.5 Work performance data

Tools & Techniques .1 Inspection .1 Inspection

.2 Group decision-making techniques .2 Decision making

Outputs .1 Accepted deliverables .1 Accepted deliverables

.2 Change requests .2 Work performance information

.3 Work performance information .3 Change requests

.4 Project documents updates .4 Project documents updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Quality reports (described in 8.2.3.1)


b. Lessons learned register (described in 4.4.3.1)
c. Requirements documentation (described in 5.2.3.1)
d. Requirements traceability matrix (described in 5.2.3.2)

New Tools:

Decision Making: This technique is the same as the previously named Group Decision Making Techniques
and refers to the various ways that voting can be utilized to reach a conclusion.

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New Outputs: None

5.6 Control Scope

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 5.6 Control Scope 5.6 Control Scope


Inputs .1 Project management plan .1 Project management plan

.2 Requirements documentation .2 Project documents

.3 Requirements traceability matrix .3 Work performance data

.4 Work performance data .4 Organizational process assets

.5 Organizational process assets

Tools & Techniques .1 Variance analysis .1 Data analysis

Outputs .1 Work performance information .1 Work performance information

.2 Change requests .2 Change requests

.3 Project management plan updates .3 Project management plan updates

.4 Project documents updates .4 Project documents updates

.5 Organizational process assets updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Requirements documentation (described in 5.2.3.1)
c. Requirements traceability matrix (described in 5.2.3.2)

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Variance analysis (described in 4.5.2.2)


b. Trend analysis (described in 4.5.2.2)

New Outputs: None

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SECTION 6: Project Schedule Management (Formerly Project Time
Management)

Project scheduling provides a detail plan that represents how and when the project will deliver the products, services
and results defined in the p oje t s ope a d se es as a tool fo o u i atio , a agi g stakeholde s’
expectations, and as a basis for performance reporting.

6.1 Plan Schedule Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 6.1 Plan Schedule Management 6.1 Plan Schedule Management


Inputs .1 Project management plan .1 Project charter

.2 Project charter .2 Project management plan

.3 Enterprise environmental factors .3 Enterprise environmental factors

.4 Organizational process assets .4 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Analytical techniques .2 Data analysis

.3 Meetings .3 Meetings

Outputs .1 Schedule management plan .1 Schedule management plan

New Inputs: None

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to alternatives
analysis. This can include:

a. Determining which schedule methodology to use, or how to combine various methods


b. Determining how detailed the schedule needs to be
c. The duration of waves for rolling wave planning
d. How often it should be reviewed and updated

New Outputs: None

55
6.2 Define Activities

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 6.2 Define Activities 6.2 Define Activities


Inputs .1 Schedule management plan . Project management plan

.2 Scope baseline .2 Enterprise environmental factors

.3 Enterprise environmental factors .3 Organizational process assets

.4 Organizational process assets

Tools & Techniques .1 Decomposition .1 Expert judgment

.2 Rolling wave planning .2 Decomposition

.3 Expert judgment .3 Rolling wave planning

.4 Meetings

Outputs .1 Activity list .1 Activity list

.2 Activity attributes .2 Activity attributes

.3 Milestone list .3 Milestone list

.4 Change requests

.5 Project management plan updates

New Inputs:

Project Management Plan: The component of this document that can be helpful in this process includes, but
is not limited to:

a. Schedule management plan (described in 6.1.3.1) to define the schedule methodology, the duration
of waves for rolling wave planning and the level of detail necessary to manage the work
b. Scope baseline (described in 5.4.3.1)

New Tools:

Meetings: These may be face-to-face, virtual, formal, or informal. It may be held with team members or
subject matter experts to define activities needed to complete the work.

New Outputs:

Change Requests: Once the project has been baselined, the progressive elaboration of deliverables into
activities may reveal work that was not initially part of the project baselines.

56
Thus, resulting in a change request, which are processed for review and disposition through the Perform
Integrated Change Control process.

Project Management Plan Updates: Any change to the project management plan should go through the
o ga izatio ’s ha ge o t ol p o ess ia a ha ge e uest. Components that may require a change request
as a result of this process include, but are not limited to:

a. Schedule baseline (described in 6.5.3.1)


b. Cost baseline (described in 7.3.3.1)

6.3 Sequence Activities

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 6.3 Sequence Activities 6.3 Sequence Activities


Inputs .1 Schedule management plan .1 Project management plan

.2 Activity list .2 Project documents

.3 Activity attributes .3 Enterprise environmental factors

.4 Milestone list .4 Organizational process assets

.5 Project scope statement

.6 Enterprise environmental factors

.7 Organizational process assets

Tools & Techniques .1 Precedence diagramming method (PDM) .1 Precedence diagramming method

.2 Dependency determination .2 Dependency determination and


integration

.3 Leads and lags .3 Leads and lags

.4 Project management information system

Outputs .1 Project schedule network diagrams .1 Project schedule network diagrams

.2 Project documents updates .2 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
is not limited to:

a. Schedule management plan (described in 6.1.3.1)


b. Scope baseline (described in 5.4.3.1)
57
Project Documents: The project documents that can be helpful in this process include, but are not limited
to:

a. Activity attributes (described in 6.2.3.2)


b. Activity list (described in 6.2.3.1)
c. Assumption log (described in 4.1.3.2)
d. Milestone list (described in 6.2.3.3)

New Tools:

Project Management Information System: Includes scheduling software that has the capability to:

a. Help plan, organize and adjust the sequence of the activities


b. Insert the logical relationships, leads and lags
c. Differentiate the different types of dependencies

New Outputs: None

Estimate Activity Resources (5th Ed – Moved)

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 6.4 Estimate Activity Resources


Inputs .1 Schedule management plan (Moved to Resource Management)

.2 Activity list

.3 Activity attributes

.4 Resource calendars

.5 Risk register

.6 Activity cost estimates

Tools & Techniques .1 Expert judgment (Moved to Resource Management)

.2 Alternative analysis

.3 Published estimating data

.4 Bottom-Up estimating

.5 Project management software

Outputs .1 Activity resource requirements (Moved to Resource Management)

58
.2 Resource breakdown structure

.3 Project documents updates

New Inputs: (Moved to Resource Management)

New Tools: (Moved to Resource Management)

New Outputs: (Moved to Resource Management)

6.4 Estimate Activity Durations

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 6.5 Estimate Activity Durations 6.4 Estimate Activity Durations


Inputs .1 Schedule management plan .1 Project management plan

.2 Activity list .2 Project documents

.3 Activity attributes .3 Enterprise environmental factors

.4 Activity resource requirements .4 Organizational process assets

.5 Resource calendars

.6 Project scope statement

.7 Risk register

.8 Resource breakdown structure

.9 Enterprise environmental factors

.10 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Analogous estimating .2 Analogous estimating

.3 Parametric estimating .3 Parametric estimating

.4 Three-point estimating .4 Three-point estimating

.5 Group decision-making techniques .5 Bottom-up estimating

.6 Reserve analysis .6 Data analysis

.7 Decision making

.8 Meetings

59
Outputs .1 Activity duration estimates .1 Duration estimates

.2 Project documents updates .2 Basis of estimates

.3 Project documents updates

New Inputs:

Project Management Plan: The component of this document that can be helpful in this process includes, but
is not limited to:

a. Schedule management plan (described in 6.1.3.1) which defines the method used, as well as the
level of accuracy and other criteria required to estimate activity duration.
b. Scope baseline (described in 5.4.3.1) includes the WBS dictionary, which contains technical details
that influence the effort and duration estimates.

Project Documents: The project documents for this process include, but are not limited to:

a. Activity attributes (described in 6.2.3.2)


b. Activity list (described in 6.2.3.1)
c. Assumption log (described in 4.1.3.2)
d. Lessons learned register (described in 4.4.3.1)
e. Milestone list (described in 6.2.3.3)
f. Project team assignments (described in 9.3.3.1)
g. Resource breakdown structure (described in 9.2.3.3)
h. Resource calendars (described in 9.2.1.2)
i. Resource requirements (described in 9.2.3.1)
j. Risk register (described in 11.2.3.1)

New Tools:

Bottom-up Estimating: A method of estimating project duration or cost by aggregating the estimates of the
lower-level components of the WBS.

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Alternatives analysis
b. Reserve analysis

Meetings: These sessions may be used to estimate activity durations. When using an agile approach, they
are usually done during a sprint or iteration planning meeting to discuss and prioritize product backlog items
to determine which of these items the team will commit to work on in the upcoming iteration.

60
New Outputs:

Duration Estimates: These are quantitative assessments of the likely number of time periods that are
required to complete an activity, phase or a project. They may include some indication of the range of
possible results or probability of meeting the estimate.

Basis of Estimates: The detail that can be used to support this process may include, but is not limited to:

a. Documentation of the basis of the estimate, or how it was developed


b. Documentation of all assumptions made
c. Documentation of any known constraints
d. Indication of the range of possible estimates
e. Indication of the confidence level of the final estimate
f. Documentation of the individual project risks influencing this estimate

6.5 Develop Schedule

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 6.6 Develop Schedule 6.5 Develop Schedule


Inputs .1 Schedule management plan .1 Project management plan

.2 Activity list .2 Project documents

.3 Activity attributes .3 Agreements

.4 Project schedule network Diagrams .4 Enterprise environmental factors

.5 Activity Resource requirements .5 Organizational process assets

.6 Resource calendars

.7 Activity duration estimates

.8 Project scope statement

.9 Risk register

.10 Project staff assignments

.11 Resource breakdown structure

.12 Enterprise environmental factors

.13 Organizational process assets

Tools & Techniques .1 Schedule network analysis .1 Schedule network analysis

.2 Critical path method .2 Critical path method

61
.3 Critical chain method .3 Resource optimization

.4 Resource optimization techniques .4 Data analysis

.5 Modeling techniques .5 Lead and lags

.6 Lead and lags .6 Schedule compression

.7 Schedule compression .7 Project management information system

.8 Scheduling tool .8 Agile release planning

Outputs .1 Schedule baseline .1 Schedule baseline

.2 Project schedule .2 Project schedule

.3 Schedule data .3 Schedule data

.4 Project calendars .4 Project calendars

.5 Project management plan updates .5 Change requests

.6 Project documents updates .6 Project management plan updates

.7 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process includes,
but are not limited to:

a. Schedule management plan (described in 6.1.3.1)


b. Scope baseline (described in 5.4.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Activity attributes (described in 6.2.3.2)


b. Activity list (described in 6.2.3.1)
c. Assumption log (described in 4.1.3.2)
d. Basis of estimates (described in 6.4.3.2)
e. Duration estimates (described in 6.4.3.1)
f. Milestone list (described in 6.2.3.3)
g. Lessons learned register (described in 4.4.3.1)
h. Project schedule network diagrams (described in 6.3.3.1)
i. Project team assignments (described in 9.3.3.1)
j. Resource calendars (described in 9.2.1.2)
k. Resource requirements (described in 9.2.3.1)
l. Risk register (described in 11.2.3.1)

Agreements: Documents from sellers or vendors with details of how they will perform the project work to
meet contractual commitments.

62
New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. What-if scenario analysis


b. Simulation

Project Management Information system: Includes scheduling software that expedites the process of
building a schedule model by generating start and finish dates based on the inputs of activities, network
diagrams, resources, and activity durations.

Agile Release Planning: This provides a high-level summary timeline of the release schedule (typically three
to si o ths ased o the p odu t oad ap a d the p odu t isio fo the p odu t’s e olutio . It also
determines the number of iterations or sprints in the release, and allows the product owner and team to
decide how much needs to be developed and how long it will take to have a releasable product based on
business goals, dependencies, and impediments.

New Outputs:

Change Requests: Modifications to the project scope or project schedule may result in change requests to
the scope baseline, and/or other components of the Project management plan. However, they are processed
for review and disposition through the Perform Integrated Change Control process.

6.6 Control Schedule

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 6.7 Control Schedule 6.6 Control Schedule


Inputs .1 Project management plan .1 Project management plan

.2 Project schedule .2 Project documents

.3 Work performance data .3 Work performance data

.4 Project calendars .4 Organizational process assets

.5 Schedule data

.6 Organizational process assets

Tools & Techniques .1 Performance reviews .1 Data analysis

.2 Project management software .2 Critical path method

.3 Resource optimization techniques .3 Project management information system

63
.4 Modeling techniques .4 Resource optimization

.5 Lead and lags .5 Lead and lags

.6 Schedule compression .6 Schedule compression

.7 Scheduling tool

Outputs .1 Work performance information .1 Work performance information

.2 Schedule forecasts .2 Schedule forecasts

.3 Change requests .3 Change requests

.4 Project management plan updates .4 Project management plan updates

.5 Project documents updates .5 Project documents updates

.6 Organizational process assets updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Project calendars (described in 6.5.3.4)
c. Project schedule (described in 6.5.3.2)
d. Resource calendars (described in 9.2.1.2)
e. Schedule data (described in 6.5.3.3)

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Earned value analysis (described in 7.4.2.2)


b. Iteration burndown chart
c. Performance reviews
d. Trend analysis (described in 4.5.2.2)
e. Variance analysis
f. What-if scenario analysis (described in 6.5.2.4)

Critical Path Method: Compares the progress along the critical path to determine schedule status, since any
variance on that path will have a direct impact on the project end date (described in 6.5.2.2). In addition,
evaluating the progress of activities near critical paths can identify schedule risk.

Project Management Information System: This include scheduling software that provides the ability to track
planned dates versus actual dates, to report variances to and progress made against the schedule baseline,
and to forecast the effects of changes to the project schedule model.

New Outputs: None


64
SECTION 7: Project Cost Management

7.1 Plan Cost Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 7.1 Plan Cost Management 7.1 Plan Cost Management


Inputs .1 Project management plan .1 Project charter

.2 Project charter .2 Project management plan

.3 Enterprise environmental factors .3 Enterprise environmental factors

.4 Organizational process assets .4 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Analytical techniques .2 Data analysis

.3 Meetings .3 Meetings

Outputs .1 Cost management plan .1 Cost management plan

New Inputs: None

New Tools:

Data Analysis: The techniques that can be used for this process includes, but is not limited to, alternatives
analysis. This can be used for:

a. Reviewing strategic funding options such as self-funding, funding with equity, or funding with debt
b. Consider ways to acquire project resources such as making, purchasing, renting or leasing

New Outputs: None

65
7.2 Estimate Costs

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 7.2 Estimate Costs 7.2 Estimate Costs


Inputs .1 Cost management plan .1 Project management plan

.2 Human resource management plan .2 Project documents

.3 Scope baseline .3 Enterprise environmental factors

.4 Project schedule .4 Organizational process assets

.5 Risk register

.6 Enterprise environmental factors

.7 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Analogous estimating .2 Analogous estimating

.3 Parametric estimating .3 Parametric estimating

.4 Bottom-Up estimating .4 Bottom-Up estimating

.5 Three-point estimating .5 Three-point estimating

.6 Reserve analysis .6 Data analysis

.7 Cost of quality .7 Project management information system

.8 Project management software .8 Decision making

.9 Vendor bid analysis

.10 Group decision-making techniques

Outputs .1 Activity cost estimates .1 Cost estimates

.2 Basis of estimates .2 Basis of estimates

.3 Project documents updates .3 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to:

a. Cost management plan (described in 7.1.3.1)


b. Quality management plan (described in 8.1.3.1)
c. Scope baseline (described in 5.4.3.1), including the Project scope statement, the WBS and the WBS
dictionary
66
Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Project schedule (described in 6.5.3.2)
c. Resource requirements (described in 9.2.3.1)
d. Risk register (described in 11.2.3.1)

New Tools:

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Alternatives analysis
b. Reserve analysis
c. Cost of quality

Project Management Information System: This can include spreadsheets, simulation software and statistical
analysis tools to assist with cost estimating, thus simplifying and facilitating rapid consideration of cost
estimate alternatives.

Decision Making: The technique that can be used for this process includes, but is not limited to voting
(described in 5.2.2.4).

New Outputs: None

7.3 Determine Budget

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 7.3 Determine Budget 7.3 Determine Budget


Inputs .1 Cost management plan .1 Project management plan

.2 Scope baseline .2 Project documents

.3 Activity cost estimates .3 Business documents

.4 Basis of Estimates .4 Agreements

.5 Project schedule .5 Enterprise environmental factors

.6 Resource calendars .6 Organizational process assets

.7 Risk register

67
.8 Agreements

.9 Organizational process assets

Tools & Techniques .1 Cost aggregation .1 Expert judgment

.2 Reserve analysis .2 Cost aggregation

.3 Expert judgment .3 Data analysis

.4 Historical relationships .4 Historical relationships

.5 Funding limit reconciliation .5 Funding limit reconciliation

.6 Financing

Outputs .1 Cost baseline .1 Cost baseline

.2 Project funding requirements .2 Project funding requirements

.3 Project documents updates .3 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to:

a. Cost management plan (described in 7.1.3.1)


b. Resource management plan (described in 9.1.3.1)
c. Scope baseline (described in 5.4.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Basis of estimates (described in 6.4.3.2)


b. Cost estimates (described in 7.2.3.1)
c. Project schedule (described in 6.5.3.2)
d. Risk register (described in 11.2.3.1)

Business Documents: The business documents for this process include, but are not limited to:

a. Business case
b. Benefit management plan

Enterprise Environmental Factors: The factor that can influence this process include, but are not limited to
exchange rates. For large-scale projects that extend multiple years with multiple currencies, the fluctuations
of currencies need to be understood and built into this process.

68
New Tools:

Data Analysis: The technique that can be used for this process includes, but is not limited to reserve analysis,
which can establish the management reserves for the project.

Financing: This entails acquiring funding for projects. For long-term infrastructure, industrial, and public
services project, it is common to seek external sources of funds. However, such funding entity may have
certain requirements that are required to be met.

New Outputs: None

7.4 Control Costs

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 7.4 Control Costs 7.4 Control Costs


Inputs .1 Project management plan .1 Project management plan

.2 Project funding requirements .2 Project documents

.3 Work Performance Data .3 Project funding requirements

.4 Organizational process assets .4 Work performance data

.5 Organizational process assets

Tools & Techniques .1 Earned value management .1 Expert judgment

.2 Forecasting .2 Data analysis

.3 To-complete performance index (TCPI) .3 To-complete performance index

.4 Performance reviews .4 Project management information system

.5 Project management software

.6 Reserve analysis

Outputs .1 Work performance information .1 Work performance information

.2 Cost forecasts .2 Cost forecasts

.3 Change requests .3 Change requests

.4 Project management plan updates .4 Project management plan updates

.5 Project documents updates .5 Project documents updates

.6 Organizational process assets updates

69
New Inputs:

Project Documents: The project documents for this process include, but are not limited to the lessons
learned register (described in 4.4.3.1)

New Tools:

Expert Judgment: Examples that can be used for this process include, but are not limited to:

a. Variance analysis
b. Earned value analysis
c. Forecasting
d. Financial analysis

Data Analysis: The techniques that can be used for this process include, but are not limited to:

a. Earned value analysis (described in 7.4.2.2), including planned value (PV), earned value (EV) and
actual cost (AC)
b. Variance analysis (described in 4.5.2.2), including schedule variance (SV), cost variance (CV),
schedule performance index (SPI), and cost performance index (CPI)
c. Trend analysis (described in 4.5.2.2), including charts showing the three EVM dimensions (PV, EV,
and AC) and forecasting for estimate at completion (EAC) that may differ from the budget at
completion (BAC) based on the project performance
d. Reserve analysis (described in 7.2.2.6)

Project Management Information system: These are often used to monitor the three EVM dimensions (PV,
EV, and AC), to display graphical trends, and to forecast a range of possible final project results.

New Outputs: None

70
SECTION 8: Project Quality Management

8.1 Plan Quality Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 8.1 Plan Quality Management 8.1 Plan Quality Management


Inputs .1 Project management plan .1 Project charter

.2 Stakeholder register .2 Project management plan

.3 Risk register .3 Project documents

.4 Requirements documentation .4 Enterprise environmental factors

.5 Enterprise environmental factors .5 Organizational process assets

.6 Organizational process assets

Tools & Techniques .1 Cost-benefit analysis .1 Expert judgment

.2 Cost of quality .2 Data gathering

.3 Seven basic quality tools .3 Data analysis

.4 Benchmarking .4 Decision making

.5 Design of experiments .5 Data representation

.6 Statistical sampling .6 Test and inspection planning

.7 Additional quality planning tools .7 Meetings

.8 Meetings

Outputs .1 Quality management plan .1 Quality management plan

.2 Process improvement plan .2 Quality metrics

.3 Quality metrics .3 Project management plan updates

.4 Quality checklists .4 Project documents updates

.5 Project documents updates

New Inputs:

Project Charter: This high-level document contains the following information that will influence the quality
management of the project including, but not limited to:

a. High-level project description


b. Product characteristics

71
c. Project approval requirements
d. Measurable project objectives
e. Related success criteria

Project Documents: The project documents for this process include, but are not limited to:

a. Assumption Log (described in 4.1.3.2)


b. Requirements documentation (described in 5.2.3.1)
c. Requirements traceability matrix (described in 5.2.3.2)
d. Risk register (described in 11.2.3.1)
e. Stakeholder register (described in 13.1.3.1)

New Tools:

Expert Judgment: Experts should be considered with specialized knowledge or training in the following
topics:

a. Quality assurance
b. Quality control
c. Quality measurements
d. Quality improvements
e. Quality systems

Data Gathering: This includes activities which can be used for this process, but are not limited to:

a. Benchmarking: Comparing actual or planned project practices.


b. Brainstorming (described in 4.1.2.2)
c. Interviews (described in 5.2.2.2)

Data Analysis: This includes activities which can be used for this process, but are not limited to:

a. Cost-benefit analysis
b. Cost of quality, including prevent, appraisal and failure (internal/external) costs

Decision Making: This includes techniques which can be used for this process, but are not limited to multi-
criteria decision analysis which can be used to identify key issues and suitable alternatives to be prioritized
as a set of decisions for implementations. They are used in this process to help prioritize quality metrics.

Data representation:

a. Flowcharts
b. Logical data model
c. Matrix diagrams
d. Mind mapping

72
Test and Inspection Planning: This technique is used to determine how to test or inspect the product,
deli e a le, o se i e to eet the stakeholde s’ eeds a d e pe tatio s. Various types of tests include:

a. Alpha and beta tests in software projects


b. Strength tests in construction projects
c. Inspections in manufacturing
d. Field tests
e. Nondestructive tests in engineering

New Outputs:

Project Management Plan Updates: Any change to the project management plan should go through the
o ga izatio ’s ha ge o t ol p o ess ia a ha ge e uest. Components that may require a change request
may include, but are not limited to:

a. Risk management plan including decisions as to the greed-upon approach to managing risk
b. Scope baseline if specific quality management activities need to be added

8.2 Manage Quality

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 8.2 Perform Quality Assurance 8.2 Manage Quality


Inputs .1 Quality management plan .1 Project management plan

.2 Quality metrics .2 Project documents

.3 Process improvement plan .3 Organizational process assets

.4 Quality control measurements

.5 Project documents

Tools & Techniques .1 Quality management and control tools .1 Data gathering

.2 Quality audits .2 Data analysis

.3 Process analysis .3 Decision making

.4 Data representation

.5 Audits

.6 Design for x

.7 Problem solving

.8 Quality improvement methods

73
Outputs .1 Change requests .1 Quality report

.2 Project management plan updates .2 Test and evaluation documents

.3 Project documents updates .3 Change requests

.4 Organizational process assets updates .4 Project management plan updates

.5 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to the quality management plan

Organizational Process Assets: The assets that can influence this process include, but are not limited to:

a. Organizational quality management systems that includes policies, procedures and guidelines
b. Quality templates such as check sheets, traceability matrix, test plans, test documents and others
c. Results from previous audits
d. Lessons learned repository

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to
checklists.

Data Analysis: This includes activities which can be used for this process, but are not limited to:

a. Alternatives analysis (described in 9.2.2.5)


b. Document analysis (described in 5.2.2.3)
c. Process analysis to identify opportunities for process improvements
d. Root cause analysis (RCA)

Decision Making: This includes techniques which can be used for this process, but are not limited to multi-
criteria decision analysis which can be used to discuss alternatives that impact project or product quality.

Data representation:

a. Affinity diagrams
b. Cause and effect diagrams
c. Flowcharts
d. Histograms
e. Matrix diagrams
f. Scatter diagrams

74
Design for X: This (DfX) is a set of technical guidelines that may be applied during the design of a product for
the opti izatio of a spe ifi aspe t of the desig a d a o t ol o e e i p o e the p odu t’s fi al
characteristics. Direct aspects which may result in cost reduction, quality improvement, better performance
and customer satisfaction include:

a. Reliability
b. Deployment
c. Assembly
d. Manufacturing
e. Cost
f. Service
g. Usability
h. Safety
i. Quality

Problem Solving: An effective and system technique that can be used to help eliminate a problem and
develop a long-lasting solution. All problem-solving methods include the following elements:

a. Defining the problem


b. Identifying the root-cause
c. Generating possible solutions
d. Choosing the best solution
e. Implementing the solution
f. Verifying the solution effectiveness

Quality Improvement Methods: These techniques that are used to analyze and evaluate opportunities for
improvements include, but are not limited to:

a. Plan-Do-Check-Act
b. Six Sigma

New Outputs:

Quality Reports: Graphical, numerical or qualitative methods to provide information to help take corrective
actions in order to achieve the project quality expectations. The information in the reports may include, but
are not limited to:

a. Quality management issues escalated by the team


b. Recommendations for process, project and product improvements
c. Corrective action recommendations (including rework, defect/bug repair, 100$ inspection and more)
d. Summary of findings from the Control Quality process

Test and Evaluation Documents: These documents are input to the Control Quality process and are used to
evaluate the achievement of quality objectives. These may include, but are not limited to:

a. Dedicated checklist
b. Detailed requirements traceability matrices

75
8.3 Control Quality

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 8.3 Control Quality 8.3 Control Quality


Inputs .1 Project management plan .1 Project management plan

.2 Quality metrics .2 Project documents

.3 Quality checklists .3 Approved change requests

.4 Work performance data .4 Deliverables

.5 Approved change requests .5 Work performance data

.6 Deliverables .6 Enterprise environmental factors

.7 Project documents .7 Organizational process assets

.8 Organizational process assets

Tools & Techniques .1 Seven basic quality tools .1 Data gathering

.2 Statistical sampling .2 Data analysis

.3 Inspection .3 Inspection

.4 Approved Change Request Review .4 Testing/product evaluations

.5 Data representations

.6 Meetings

Outputs .1 Quality control measurements .1 Quality control measurements

.2 Validated changes .2 Verified deliverables

.3 Verified deliverables .3 Work performance information

.4 Work performance information .4 Change requests

.5 Change requests .5 Project management plan updates

.6 Project management plan updates .6 Project documents updates

.7 Project documents updates

.8 Organizational process assets updates

New Inputs:

Enterprise Environmental Factors: The factors that can influence this process include, but are not limited to:

a. Project management information system


b. Quality management software
76
c. Governmental agency regulations
d. Rules, standards and guidelines

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to:

a. Checklists (described in 11.2.2.2)


b. Check sheets
c. Statistical sampling
d. Questionnaires and Surveys

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Performance reviews
b. Root cause analysis (RCA) (described in 8.2.2.2)

Testing/Product Evaluations: This is an organized and constructed investigation conducted to provide


objective information about the quality of the product or service under test in accordance with the project
requirements

Data representation:

a. Cause-and-effect diagrams
b. Control charts
c. Histograms
d. Scatter diagrams

Meetings: The following types of meetings can be used for this process, but are not limited to:

a. Approved change requests reviews.


b. Retrospectives/lessons learned

New Outputs: None

77
SECTION 9: Project Resource Management

Note: The name of this Knowledge Area was changed to reflect that there are resources, beyond human resources,
that need to be identified, acquired and managed to achieve a successful completion of the project

9.1 Plan Human Resource Management changed to Plan Resource Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 9.1 Plan Human Resource 9.1 Plan Resource Management


Management
Inputs .1 Project management plan .1 Project charter

.2 Activity resource requirements .2 Project management plan

.3 Enterprise environmental factors .3 Project documents

.4 Organizational process assets .4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Organization charts and position .1 Expert judgment


descriptions

.2 Networking .2 Data representation

.3 Organizational theory .3 Organizational theory

.4 Expert judgment .4 Meetings

.5 Meetings

Outputs .1 Human resource management plan .1 Resource management plan

.2 Team charter

.3 Project documents updates

New Inputs:

Project Charter: This high-level description and requirements including, but not limited to:

a. Key stakeholder list


b. Summary milestones
c. Pre-approved financial resources

Project Documents: The project documents for this process include, but are not limited to:

a. Project schedule (described in 6.2.3.2)


78
b. Requirements documentation (described in 5.2.3.1)
c. Risk register (described in 11.2.3.1)
d. Stakeholder register (described in 13.1.3.1)

New Tools:

Data Representation: The techniques that can be used for this process include, but are not limited to:

a. Hierarchical-type charts
• Work breakdown structures (WBS)
• Organizational breakdown structure (OBS)
• Resource breakdown structure (RBS)
b. Assignment matrix

c. Text-oriented formats

New Outputs:

Team Charter: A document that establishes the team values, agreements and operating guidelines for the
team. It may include, but is not limited to:

a. Team values
b. Communication guidelines
c. Decision making criteria and process
d. Conflict resolution process
e. Meeting guidelines
f. Team agreements

Project Documents Updates: Project documents that may be updated as a result of this process may
include, but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Risk register (described in 11.2.3.1)

79
9.2 Estimate Activity Resources
New Resource Management Process

Estimate Activity Resources: This process was moved from Time Management.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 9.2 Estimate Activity Resources


Inputs (Moved from the Project Time .1 Project management plan
Management Knowledge Area)
.2 Project documents

.3 Enterprise environmental factors

.4 Organizational process assets

Tools & Techniques (Moved from the Project Time .1 Expert judgment
Management Knowledge Area)
.2 Bottom-up estimating

.3 Analogous estimating

.4 Parametric estimating

.5 Data analysis

.6 Project management information system

.7 Meetings

Outputs (Moved from the Project Time .1 Resource requirements


Management Knowledge Area)
.2 Basis of estimates

.3 Resource breakdown structure

.4 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to:

a. Resource management plan (described in 9.1.3.1)


b. Scope baseline (described in 5.4.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Activity attributes (described in 6.2.3.2)


b. Activity list (described in 6.2.3.1)
c. Assumption log (described in 4.1.3.2)
d. Cost estimates (described in 7.2.3.1)
80
e. Resource calendars
f. Risk register (described in 11.2.3.1)

New Tools:

Analogous Estimating: uses information regarding resources from a previous similar project as the basis for
estimating a future project

Parametric Estimating: uses an algorithm or a statistical relationship between historical data and other
variables to calculate resource quantities needed for an activity, based on historical data and project
parameters

Data Analysis: This includes techniques which can be used for this process, but are not limited to
alternatives analysis including:

a. Various levels of resource capability or skills


b. Different sizes or types of machines
c. Different tools (manual versus automated)
d. Make-rent-or-buy decisions

Project Management Information System: This name was changed from the Project Management System in
the previous process

Meetings: These include types of meetings which can be used for this process, but are not limited to:

a. Estimate the resources needed per activity


b. Level of effort (LoE)
c. Skill level of the team resources
d. Quantity of materials needed

New Outputs:

Resource Requirements: This name was changed from the Activity Resource Requirements in the previous
process

Basis of Estimates: The amount and type of detail to support this process include, but are not limited to:

a. Method used to develop the estimate


b. Resources used to develop the estimate (such as past project information)
c. Assumptions associated with the estimate
d. Known constraints
e. Range of estimates
f. Confidence level of the estimate
g. Documentation of identified risks influencing the estimate

81
9.3 Acquire Project Team to Acquire Resources
Renamed Process

Acquire Resources: Obtaining team members, facilities, equipment, materials, supplies, and other resources
necessary to complete project work.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 9.2 Acquire Project Team 9.3 Acquire Resources


Inputs .1 Human resource management plan .1 Project management plan

.2 Enterprise environmental factors .2 Project documents

.3 Organizational process assets .3 Enterprise environmental factors

.4 Organizational process assets

Tools & Techniques .1 Pre-assignment .1 Decision making

.2 Negotiation .2 Interpersonal and team skills

.3 Acquisition .3 Pre-assignment

.4 Virtual teams .4 Virtual teams

.5 Multi-criteria decision analysis

Outputs .1 Project staff assignments .1Physical resource assignments


.2 Project team assignments

.2 Resource calendars .3 Resource calendars


.4 Change requests

.3 Project management plan updates .5 Project management plan updates

.6 Project documents updates

.7 Enterprise environmental factors updates

.8 Organizational process assets updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to:

a. Resource management plan (described in 9.1.3.1)


b. Procurement management plan (described in 12.1.3.1)
c. Cost baseline (described in 7.3.3.1)

82
Project Documents: The project documents for this process include, but are not limited to:

a. Project schedule (described in 6.5.3.2)


b. Resource calendars (described in 9.2.1.2)
c. Resource requirements (described in 9.2.3.1)
d. Stakeholder register (described in 13.1.3.1)

New Tools:

Decision Making: A technique that can be used to help with the selection of physical project resources or
project team members in the process, but is not limited to multi-criteria decision analysis and can include
the following selection criteria:

a. Availability
b. Cost
c. Ability
d. Experience
e. Knowledge
f. Skills
g. Attitude
h. International factors including location, time zone and communication capabilities

Interpersonal and Team Skills: The skill used for this process include, but is not limited to negotiation. The
project management team may need to negotiate with:

a. Functional managers
b. Other project management teams within the performing organization
c. External organizations and suppliers

New Outputs:

Physical Resource Assignments: Documentation of the physical resource assignments records the material,
equipment, supplies, locations, and other physical resources that will be used during the project.

Project Team Assignments: Documentation of team assignments records the team members and their roles
and responsibilities for the project.

Resource Calendars: It identifies the working days, shifts, start and end of normal business hours, weekends,
and public holidays when each specific resource is available.

Change Requests: If change requests occur as a result of this process or if recommended corrective or
preventive actions impact any of the components of the project management plan or project documents,
the project manager needs to submit a change request and follow the Perform Integrated Change Control
process

83
Project Documents Updates: The project documents that may be updated as a result of this process include,
but not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Project schedule (described in 6.5.3.2)
c. Resource breakdown structure (described in 9.2.1.2)
d. Resource calendars (described in 9.2.1.2)
e. Resource requirements (described in 9.2.3.1)
f. Risk register (described in 11.2.3.1)
g. Stakeholder register (described in 11.1.3.1)

Enterprise Environmental Factors Updates: The factors that are updated for this process include, but is not
limited to:

a. Resource availability within the organization


b. A ou t of the o ga izatio ’s o su a le esou es that ha e ee used

Organizational Process Assets Updates: The assets that are updated as a result of this process include, but
are not limited to documentation related to:

a. Acquiring resources
b. Assigning resources
c. Allocating resources

9.4 Develop Project Team changed to Develop Team


Renamed Process

Develop Team: Improving competencies, team member interaction, and the overall team environment to enhance
project performance.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 9.3 Develop Project Team 9.4 Develop Team


Inputs .1 Human resource management plan .1 Project management plan

.2 Project staff assignments .2 Project documents

.3 Resource calendars .3. Enterprise environmental factors

.4 Organizational process assets

Tools & Techniques .1 Interpersonal Skills .1 Colocation

.2 Training .2 Virtual teams

.3 Team-building activities .3 Communication technology

84
.4 Ground rules .4 Interpersonal and team skills

.5 Colocation .5 Recognition and rewards

.6 Recognition and rewards .6 Training

.7 Personal assessment tools .7 Individual and team assessments


.8 Meetings

Outputs .1 Team performance assessments .1 Team performance assessments

.2 Enterprise environmental factors .2 Change requests


updates

.3 Project management plan updates

.4 Project documents updates

.5 Enterprise environmental factors updates

.6 Organizational process assets updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to the resource management plan providing guidance on:

a. Providing project team member rewards


b. Feedback
c. Additional training
d. Disciplinary actions as a result of team performance assessment
e. Team performance assessment criteria

Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Project schedule (described in 6.5.3.2)
c. Project team assignments (described in 9.3.3.1)
d. Resource calendars (described in 9.2.1.2)
e. Team charter (described in 9.1.3.2)

Enterprise Environmental Factors: The factors that can influence this process include, but are not limited to:

a. Human resource management policies regarding


• Hiring and termination
• Employee performance reviews
• Employee development and training records
• Recognition and rewards
b. Team member skills, competencies and specialized knowledge
c. Geographic distribution of team members

85
Organizational Process Assets: The assets that can influence this process include, but are not limited to:

a. Historical information
b. Lessons learned repository

New Tools:

Colocation: The placing of many or all of the active team members in the same physical location to enhance
thei a ilit to pe fo as a tea is efe ed to as olo atio , o a tight at i a d a i lude, ut a e
not limited to the following strategies:

a. Team meeting room


b. Common place to post schedules and other conveniences to enhance communication and a sense of
community

Virtual Teams: The use of virtual teams can bring benefits such as the use of more skilled resources,
reduced costs, less travel and relocation expenses.

Communication Technology: Examples of types of technology requirements for collocated and virtual team
may include, but are not limited to:

a. Shared portal
b. Video conferencing
c. Audio conferencing
d. Email/chat

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Conflict management (described in 9.5.2.1)


b. Influencing (described in 9.5.2.1)
c. Motivation
d. Negotiation (described in 12.2.2.5)
e. Team building

Individual and Team Assessment: Tools that can be used to help assess areas of strengths and weaknesses
for this process include, but are not limited to:

a. Attitudinal surveys
b. Specific assessments
c. Structured interviews
d. Ability tests
e. Focus groups

Meetings: Meetings that can be used to discuss and address pertinent topics for this process include, but are
not limited to:

a. Project orientation meetings


b. Team building meetings
c. Team development meetings
86
New Outputs:

Change Requests: If change requests occur as a result of this process or if recommended corrective or
preventive actions impact any of the components of the project management plan or project documents,
the project manager needs to submit a change request and follow the Perform Integrated Change Control
process.

Project Documents Updates: The project documents that may be updated as a result of this process include,
but not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Project schedule (described in 6.5.3.2)
c. Project team assignments (described in 9.3.3.1)
d. Resource calendars (described in 9.2.1.2)
e. Team charter (described in 9.1.3.2)

Organizational Process Assets Updates: The assets that are updated as a result of this process include, but
are not limited to:

a. Training requirements
b. Personnel assessment

9.5 Manage Project Team changed to Manage Team


Renamed Process

Manage Team: Tracking team member performance, providing feedback, resolving issues, and managing team
changes to optimize project performance.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 9.4 Manage Project Team 9.5 Manage Team


Inputs .1 Human resource management plan .1 Project management plan

.2 Project staff assignments .2 Project documents

.3 Team performance assessments .3 Work performance reports

.4 Issue log .4 Team performance assessments

.5 Work performance reports .5 Enterprise environmental factors

.6 Organizational process assets .6 Organizational process assets

Tools & Techniques .1 Observation and conversation .1 Interpersonal and team skills

.2 Project performance appraisals .2 Project management information system

87
.3 Conflict management

.4 Interpersonal skills

Outputs .1 Change requests .1 Change requests

.2 Project management plan updates .2 Project management plan updates

.3 Project documents updates .3 Project documents updates

.4 Enterprise environmental factors updates .4 Enterprise environmental factors updates

.5 Organizational process assets updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to the resource management plan providing guidance on how the project team resources
should be managed and eventually released.

Project Documents: The project documents for this process include, but are not limited to:

a. Issue log (described in 4.3.3.3)


b. Lessons learned register (described in 4.4.3.1)
c. Project team assignments (described in 9.3.3.1)
d. Team charter (described in 9.1.3.2)

Enterprise Environmental Factors: The factors that can be helpful in this process include, but are not limited
to human resource management policies.

New Tools:

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Conflict management
b. Decision making (described in 5.2.2.4)
c. Emotional intelligence
d. Influencing
e. Leadership

Project Management Information System: Software including resource management scheduling support
that can be used for managing and coordinating team members across project activities.

88
9.6 Control Resources
New Process

Control Resources: Ensuring that the physical resources assigned and allocated to the project are available as
planned, as well as monitoring the planned versus actual utilization of resources and taking corrective action as
necessary.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 9.6 Control Resources


Inputs .1 Project management plan

.2 Project documents

.3 Work performance data

.4 Agreements

.5 Organizational process assets

Tools & Techniques .1 Data analysis

.2 Problem solving

.3 Interpersonal and team skills

.4 Project management information system

Outputs .1 Work performance information

.2 Change requests

.3 Project management plan updates

.4 Project documents updates

New Inputs:

Project Management Plan: The components of this document that can be helpful in this process include, but
are not limited to the resource management plan providing guidance on how the project team resources
should be managed and eventually released.

Project Documents: The project documents for this process include, but are not limited to:

a. Issue log (described in 4.3.3.3)


b. Lessons learned register (described in 4.4.3.1)
c. Physical resource assignments (described in 9.3.3.1)
d. Project schedule (described in 6.5.3.2)
e. Resource breakdown structure (described in 9.2.3.3)
f. Resource requirements (described in 9.2.3.1)
g. Risk register (described in 11.2.3.1)

89
Work performance data: The data included on project status for this process include, but are not limited to
the number and type of resources that have been used.

Agreements: Agreements made within the context of the project are the basis for all resources external to
the organization and should define procedures when new, unplanned resources are needed or when issues
arise with current resources.

Organization Process Assets: The assets that can influence this process include, but are not limited to:

a. Policies regarding resource control and assignment


b. Escalation procedures for handling issues within the performing organization
c. Lessons learned repository from previous similar projects

New Tools:

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Alternatives analysis (described in 9.2.2.5)


b. Cost-benefit analysis (described in 8.1.2.3)
c. Performance reviews
d. Trend analysis (described in 4.5.2.2)

Problem Solving: This includes a set of tools to solve problems. The methodical steps to deal with problem
solving can include:

a. Identify the problem


b. Define the problem
c. Investigate
d. Analyze
e. Solve
f. Check the solution

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Negotiation (described in 12.2.2.5)


b. Influencing (described in 9.5.2.1)

Project Management Information System: Software including resource management and scheduling
capabilities that can be used to monitor the resource utilization to help ensure that the right resources are
working on the right activities at the right time and place.

New Outputs:

Work Performance Information: Information on how the project work is performing by comparing resource
requirements and resource allocations to resource utilization across the project activities

90
Change Requests: If change requests occur as a result of this process or if recommended corrective or
preventive actions impact any of the components of the project management plan or project documents,
the project manager needs to submit a change request and follow the Perform Integrated Change Control
process

Project Management Plan Updates: Components of the project management plan that may require a
change request as a result of this process include, but not limited to:

a. Resource management plan (described in 9.1.3.1)


b. Schedule baseline (described in 6.5.3.1)
c. Cost baseline (described in 7.3.3.1)

Project Documents Updates: The project documents that may be updated as a result of this process include,
but not limited to:

a. Assumption log (described in 4.1.3.2)


b. Issue log (described in 4.3.3.3)
c. Lessons learned register (described in 4.4.3.1)
d. Resource assignments (described in 9.3.3.1)
e. Resource breakdown structure (described in 9.2.3.3)
f. Risk register (described in 11.2.3.1)

91
SECTION 10: Project Communications Management
Communications refers to a system or technology for transmitting information.
Communication refers to the exchange of messages between individuals.
Communications is technology; whereas, communication is human.

10.1 Plan Communications Management


Renamed Process

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 10.1 Plan Communications 10.1 Plan Communications


Management Management
Inputs .1 Project management plan .1 Project charter

.2 Stakeholder register .2 Project management plan

.3 Enterprise environmental factors .3 Project documents

.4 Organizational process assets .4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Communication requirements analysis .1 Expert judgment

.2 Communication technology .2 Communication requirements analysis

.3 Communication models .3 Communication technology

.4 Communication methods .4 Communication models

.5 Meetings .5 Communication methods

.6 Interpersonal and team skills

.7 Data representation

.8 Meetings

Outputs .1 Communications management plan .1 Communications management plan

.2 Project documents updates .2 Project management plan updates

.3 Project documents updates

New Inputs:

Project Charter: The high-level project document identifies the key stakeholders and may contain
information about the roles and responsibilities of the stakeholders

92
Project Documents: The project documents that may be considered as input to this process include, but not
limited to:

a. Requirements documentation (described in 5.2.3.1)


b. Stakeholder register (described in 13.1.3.1)

New Tools:

Expert Judgment: Expertise should be considered from individuals or groups with specialized knowledge or
training in the topics that include, but are not limited to:

a. Politics and power structures in the organization


b. Environment and culture of the organization and other customer organizations
c. Resource breakdown structure (described in 9.2.1.2)
d. Industry or type of project deliverables
e. Corporate communications technologies
f. Corporate policies and procedures regarding legal requirements of corporate communications
g. Corporate policies and procedures regarding security
h. Stakeholders, including customers or sponsors

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Communication styles assessment


b. Political awareness
c. Cultural awareness

Data Representation: A data representation technique that can be used for this process include, but not
limited to a stakeholder engagement assessment matrix:

a. Stakeholder engagement assignment matrix

New Outputs:

Project Management Plan Updates: Components of the project management plan that may require a
change request as a result of this process include, but not limited to the stakeholder engagement plan. It
may be updated to reflect any processes, procedures, tools or techniques that affect the engagement of
stakeholders in project decisions and execution.

93
10.2 Manage Communications

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 10.2 Manage Communications 10.2 Manage Communications


Inputs .1 Communications management plan .1 Project management plan

.2 Work performance reports .2 Project documents

.3 Enterprise environmental factors .3 Work Performance reports

.4 Organizational process assets .4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Communication technology .1 Communication technology

.2 Communication models .2 Communication methods

.3 Communication methods .3 Communication skills

.4 Information management systems .4 Project management information system

.5 Performance reporting .5 Project reporting

.6 Interpersonal and team skills

.7 Meetings

Outputs .1 Project communications .1 Project communications

.2 Project management plan updates .2 Project management plan updates

.3 Project documents updates .3 Project documents updates

.4 Organizational process assets updates .4 Organizational process assets updates

New Inputs:

Project Management Plan: The project management plan components that can be helpful in this process
include, but are not limited to:

a. Resource management plan (described in 9.1.3.1)


b. Communications management plan (described in 10.1.3.1)
c. Stakeholder engagement plan (described in 13.2.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Change log (described in 4.6.3.1)


b. Issue log (described in 4.3.3.3)
c. Lessons learned register (described in 4.4.3.1)
d. Quality report (described in 8.2.3.1)

94
e. Risk report (described in 11.2.3.2)
f. Stakeholder register (described in 13.1.3.1)

New Tools:

Communication Skills: Skills that can be used for this process include, but are not limited to:

a. Communication competence
b. Feedback
c. Nonverbal
d. Presentations

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Active listening
b. Conflict management (described in 9.5.2.1)
c. Cultural awareness (described in 10.1.2.6)
d. Meeting management
e. Networking
f. Political awareness

Meetings: These support the actions defined in the communications strategy and communications plan

New Outputs: None

10.3 Control Communications changed to Monitor Communications

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 10.3 Control Communications 10.3 Monitor Communications


Inputs .1 Project management plan .1 Project management plan

.2 Project communications .2 Project documents

.3 Issue log .3 Work performance data

.4 Work performance data .4 Enterprise environmental factors

.5 Organizational process assets .5 Organizational process assets

Tools & Techniques .1 Information management systems .1 Expert judgment

.2 Expert judgment .2 Project management information system

95
.3 Meetings .3 Data representation

.4 Interpersonal and team skills

.5 Meetings

Outputs .1 Work performance information .1 Work performance information

.2 Change requests .2 Change requests


.3 Project management plan updates

.3 Project management plan updates .4 Project documents updates

.4 Project documents updates

.5 Organizational process assets updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Issue log (described in 4.3.3.3)


b. Lessons learned register (described in 4.4.3.1)
c. Project communications (described in 10.2.3.1)

Enterprise Environmental Factors: The facts that can influence this process include, but are not limited to:

a. Organizational culture, political climate and governance framework


b. Established communication channels, tools and systems
c. Global, regional, or local trends, practices, or habits
d. Geographic distribution of facilities and resources

New Tools:

Project Management Information System: The systems that provide a set of standard tools for project
managers to capture, store and distribute information to internal and external stakeholders with the
information they need according to the communications plan.

Data Analysis: This includes techniques which can be used for this process, but are not limited to a
stakeholder engagement assessment matrix to assess requirements for additional communications through
the review of changes between desired and current engagement and adjusting communications are
necessary

96
Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to
observation/conversation to enable the project manager to identify:

a. Issues within the team


b. Conflicts between people
c. Individual performance issues

New Outputs: None

97
SECTION 11: Project Risk Management

11.1 Plan Risk Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 11.1 Plan Risk Management 11.1 Plan Risk Management


Inputs .1 Project management plan .1 Project charter

.2 Project charter .2 Project management plan

.3 Stakeholder register .3 Project documents

.4 Enterprise environmental factors .4 Enterprise environmental factors

.5 Organizational process assets .5 Organizational process assets

Tools & Techniques .1 Analytical techniques .1 Expert judgment

.2 Expert judgment .2 Data analysis

.3 Meetings .3 Meetings

Outputs .1 Risk management plan .1 Risk management plan

New Inputs:

Project Documents: The project documents for this process include, but are not limited to the stakeholder
egiste hi h o tai s details of the p oje t’s stakeholde s a d p o ides a o e ie of thei p oje t oles
and their attitude toward risk on the project

New Tools:

Data Analysis: This includes techniques which can be used for this process, but are not limited to a
stakeholder analysis to determine the risk appetite of project stakeholders.

New Outputs: None

98
11.2 Identify Risks

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 11.2 Identify Risks 11.2 Identify Risks


Inputs .1 Risk management plan .1 Project management plan

.2 Cost management plan .2 Project documents

.3 Schedule management plan .3 Agreements

.4 Quality management plan .4 Procurement documentation

.5 Human resource management plan .5 Enterprise environmental factors

.6 Scope baseline .6 Organizational process assets

.7 Activity cost estimates

.8 Activity duration estimates

.9 Stakeholder register

.10 Project documents

.11 Procurement documents

.12 Enterprise environmental factors

.13 Organizational process assets

Tools & Techniques .1 Documentation reviews .1 Expert judgment

.2 Information gathering techniques .2 Data gathering

.3 Checklist analysis .3 Data analysis

.4 Assumptions analysis .4 Interpersonal and team skills

.5 Diagramming techniques .5 Prompt lists

.6 SWOT analysis . Meetings

.7 Expert judgment

Outputs .1 Risk register .1 Risk register

.2 Risk report

.3 Project documents updates

99
New Inputs:

Project Management Plan: The project management plan components that can be helpful in this process
include, but are not limited to:

a. Requirements management plan (described in 5.1.3.2)


b. Schedule management plan (described in 6.1.3.1)
c. Cost management plan (described in 7.1.3.1)
d. Resource management plan (described in 9.1.3.1)
e. Quality management plan (described in 8.1.3.1)
f. Risk management plan (described in 11.1.3.1)
g. Scope baseline (described in 5.4.3.1)
h. Schedule baseline (described in 6.5.3.1)
i. Cost baseline (described in 7.3.3.1)

Project Management Plan: If the project requires external procurement of resources, the agreements will
contain the following information, but not limited to:

a. Milestone dates
b. Contract type
c. Acceptance criteria
d. Awards and penalties that can present threats or opportunities

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to:

a. Brainstorming
b. Checklists
c. Interviews

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Root cause analysis


b. Assumption and constraint analysis
c. SWOT analysis
d. Document analysis (described in 5.2.2.3)

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to
facilitation

Prompt list: A predetermined list of risk categories that are the lowest level of the risk breakdown structure
and are used to help identify individuals risks for this process include, but are not limited to:

a. PESTLE (political, economic, social, technological, legal, environmental)


b. TECOP (technical, environmental, commercial, operations, political)
c. VUCA (volatility, uncertainty, complexity, ambiguity)

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Meetings: Specialized meetings (often called a risk workshop) can be used for this process include, but are
not limited to some type of brainstorming or facilitated workshop

New Outputs:

Risk report: Presents information on overall project risk, together with summary information on identified
individual project risks. This information may include, but is not limited to:

a. Sources of overall project risk, indicate the most important drivers of overall project risk exposure
b. Summary information on identified individual project risks
• Number of identified threats and opportunities
• Distribution of risks across risk categories
• Metrics and trends
c. Additional information depending on the reporting requirements specified in the risk management
plan

Project Documents Updates: The project documents that may be updated as a result of this process include,
but not limited to:

a. Assumption log (described in 4.1.3.2)


b. Issue log (described in 4.3.3.3)
c. Lessons learned register (described in 4.4.3.1)

11.3 Perform Qualitative Risk Analysis

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 11.3 Perform Qualitative Risk 11.3 Perform Qualitative Risk


Analysis Analysis
Inputs .1 Risk management plan .1 Project management plan

.2 Scope baseline .2 Project documents

.3 Risk register .3 Enterprise environmental factors

.4 Enterprise environmental factors .4 Organizational process assets

.5 Organizational process assets

Tools & Techniques .1 Risk probability and impact assessment .1 Expert judgment

.2 Probability and impact matrix .2 Data gathering

.3 Risk data quality assessment .3 Data analysis

.4 Risk categorization .4 Interpersonal and team skills

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.5 Risk urgency assessment .5 Risk categorization

.6 Expert judgment .6 Data representation

.7 Meetings

Outputs .1 Project documents updates .1 Project documents updates

New Inputs:

Project Management Plan: The project management plan components that can be helpful in this process
includes, but not limited to the risk management plan. Of particular interest in this process are:

a. Roles and responsibilities for conducting risk management


b. Budget for risk management
c. Schedule activities for risk management
d. Risk categories, often defined in a risk breakdown structure
e. Definitions of probability and impact
f. Probability and impact matrix
g. “takeholde s’ isk th esholds

Project Documents: The project documents for this process include, but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Risk register (described in 11.2.3.1)
c. Stakeholder register (described in 13.1.3.1)

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to
structured or semi-structured interviews to assess the probability and impacts of individual project risks

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Risk data quality assessment


b. Risk probability and impact assessment
c. Assessment of other risk parameters
• Urgency
• Proximity
• Dormancy
• Manageability
• Controllability
• Detectability
• Connectivity
• Strategic impact
• Propinquity (the degree to which a risk is perceived to matter by either an individual or
group)

102
Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to
facilitation.

Data Representation: A data representation technique that can be used during this process include, but not
limited to: Probability and Impact matrix and Hierarchical-type charts

Meetings: Specialized meetings (often called a risk workshop) can be used for this process include, but are
not limited to:

a. Review previously identified risks


b. Assessment probably and impact and possibly other risk parameters

New Outputs: None

11.4 Perform Quantitative Risk Analysis

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 11.4 Perform Quantitative Risk 11.4 Perform Quantitative Risk


Analysis Analysis
Inputs .1 Risk management plan .1 Project management plan

.2 Cost management plan .2 Project documents

.3 Schedule management plan .3 Enterprise environmental factors

.4 Risk register .4 Organizational process assets

.5 Enterprise environmental factors

.6 Organizational process assets

Tools & Techniques .1 Data gathering and representation .1 Expert judgment


techniques

.2 Quantitative risk analysis and modeling .2 Data gathering


techniques

.3 Expert judgment .3 Interpersonal and team skills

.4 Representations of uncertainty

.5 Data analysis

Outputs .1 Project documents updates .1 Project documents updates

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New Inputs:

Project Management Plan: The project management plan components that can be helpful in this process
include, but not limited to:

a. Risk management plan (described in 11.1.3.1)


b. Scope baseline (described in 5.4.3.1)
c. Schedule baseline (described in 6.5.3.1)
d. Cost baseline (described in 7.3.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Basis of estimates (described in 6.4.3.2)
c. Cost estimates (described in 7.2.3.1)
d. Cost forecasts (described in 7.4.3.2)
e. Duration estimates (described in 6.4.3.1)
f. Milestone list (described in 6.2.3.3)
g. Resource requirements (described in 9.2.3.1)
h. Risk register (described in 11.2.3.1)
i. Risk report (described in 11.2.3.2)
j. Schedule forecasts (described in 6.6.3.2)

New Tools:

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to
facilitation.

Representations of Uncertainty: Individual project risks are input into a quantitative risk analysis model to
reflect uncertainty which is represented as a probability distribution. The most commonly used are:

a. Triangular
b. Normal
c. Lognormal
d. Beta
e. Uniform
f. Discrete distributions

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Simulations
b. Sensitivity analysis
c. Decision tree analysis
d. Influence diagrams

New Outputs: None

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11.5 Plan Risk Responses

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 11.5 Plan Risk Responses 11.5 Plan Risk Responses


Inputs .1 Risk management plan .1 Project management plan

.2 Risk register .2 Project documents

.3 Enterprise environmental factors

.4 Organizational process assets

Tools & Techniques .1 Strategies for negative risks or threats .1 Expert judgment

.2 Strategies for positive risks or .2 Data gathering


opportunities

.3 Contingent response strategies .3 Interpersonal and team skills

.4 Expert judgment .4 Strategies for threats

.5 Strategies for opportunities

.6 Contingent response strategies

.7 Strategies for overall project risk


.8 Data analysis

.9 Decision making

Outputs .1 Project management plan updates .1 Change requests

.2 Project documents updates .2 Project management plan updates

.3 Project documents updates

New Inputs:

Project Management Plan: Project management plan components that can be helpful in the process include,
but not limited to:

a. Resource management plan (described in 9.1.3.1)


b. Risk management plan (described in 11.1.3.1)
c. Cost baseline (described in 7.3.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Project schedule (described in 6.5.3.2)
c. Resource breakdown structure (described in 9.2.3.3)
d. Resource calendars (described in 9.2.1.2)
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e. Risk register (described in 11.2.3.1)
f. Risk report (described in 11.2.3.2)
g. Stakeholder register (described in 13.1.3.1)

Enterprise Environment Factors: The factor that can influence this process include, but are not limited to the
risk appetite and thresholds of key stakeholders.

Organizational Process Assets: The assets that can influence this process include, but are not limited to:

a. Templates for the risk management plan, risk register and risk report
b. Historical databases
c. Lessons learned repositories from similar completed projects

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to
interviews using either structured or semi-structured interviews.

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to
facilitation.

Strategies for Overall Project Risk: The strategies for individual projects risks should also be planned and
implemented to address overall project risks. The same risk response strategies that apply are:

a. Avoid
b. Exploit
c. Mitigate/Enhance
d. Accept

Data Analysis: A number of alternative risk response strategies may be considered. Data analysis techniques
that can be used to select a preferred risk strategy include but are not limited to:

a. Alternatives analysis
b. Cost-benefit analysis

Decision Making: Decision making techniques that can be used to select the preferred risk response strategy
include but are not limited to:

a. Alternatives analysis
b. Multicriteria decision analysis
c. Cost-benefit analysis

New Outputs:

Change Requests: Planned risk responses may result in a change request to the cost and schedule baselines
or other components of the project management plan. Change requests are processed for review and
disposition through the Perform Integrated Change Control process.

106
11.6 Implement Risk Responses
New Process

Implement Risk Responses: It ensures that agreed upon risk responses are executed as planned in order to address
overall project risk exposure, minimize individual project threats, and maximize individual project opportunities.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 11.6 Implement Risk Responses


Inputs .1 Project management plan

.2 Project documents

.3 Organizational process assets

Tools & Techniques .1 Expert judgment

.2 Interpersonal and team skills

.3Project management information system

Outputs .1 Change requests

.2 Project documents updates

New Inputs:

Project Management Plan: If the project requires external procurement of resources, the agreements will
contain the following information, but not limited to the risk management plan.

Project Documents: The project documents for this process include, but are not limited to:

a. Lessons learned register (described in 4.4.3.1)


b. Risk register (described in 11.2.3.1)
c. Risk report (described in 11.2.3.2)

Organizational Process Assets: The assets that can influence this process include but are not limited to the
lessons learned repository from similar completed projects that indicate the effectiveness of particular risk
responses.

New Tools:

Expert Judgment: Expertise should be considered from individuals or groups with specialized knowledge to
validate or modify risk responses if necessary, and decide how to implement them in the most efficient and
effective manner.

107
..

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to
influencing to encourage nominated risk owners to take necessary action where required

Project Management Information System: System that includes schedule, resource and cost software to
ensure that agreed-upon risk response plans and their associated activities are integrated into the project
alongside other project activities

New Outputs:

Change Requests: Implementation of risk responses may result in a change request to the cost and schedule
baselines or other components of the project management plan. Change requests are processed for review
and disposition through the Perform Integrated Change Control process.

Project Documents Updates: The project documents that may be updated as a result of this process include,
but not limited to:

a. Issue log (described in 4.3.3.3)


b. Lessons learned register (described in 4.4.3.1)
c. Risk register (described in 11.2.3.1)
d. Risk report (described in 11.2.3.2)

11.7 Control Risks changed to Monitor Risks

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 11.6 Control Risks 11.7 Monitor Risks


Inputs .1 Project management plan .1 Project management plan

.2 Risk register .2 Project documents

.3 Work performance data .3 Work performance data

.4 Work performance reports .4 Work performance reports

Tools & Techniques .1 Risk reassessment .1 Data analysis

.2 Risk audits .2 Audits


.3 Meetings

.3 Variance and trend analysis

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.4 Technical performance measurement

.5 Reserve analysis

.6 Meetings

Outputs .1 Work performance information .1 Work performance information

.2 Change requests .2 Change requests

.3 Project management plan updates .3 Project management plan updates

.4 Project documents updates .4 Project documents updates

.5 Organizational process assets updates .5 Organizational process assets updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Issue log (described in 4.3.3.3)


b. Lessons learned register (described in 4.4.3.1)
c. Risk register (described in 11.2.3.1)
d. Risk report (described in 11.2.3.2)

New Tools:

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Technical performance analysis


b. Reserve analysis

Audits: Risk audit are a type of audit that may be used to consider the effectiveness of the risk management
process.

New Outputs: None

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SECTION 12: Project Procurement Management

12.1 Plan Procurement Management

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 12.1 Plan Procurement 12.1 Plan Procurement


Management Management
Inputs .1 Project management plan .1 Project charter

.2 Requirement documentation .2 Business documents

.3 Risk register .3 Project management plan

.4 Activity resource requirements .4 Project documents

.5 Project schedule .5 Enterprise environmental factors

.6 Activity cost estimates .6 Organizational process assets

.7 Stakeholder register

.8 Enterprise environmental factors

.9 Organizational process assets

Tools & Techniques .1 Make-or-buy analysis .1 Expert judgment

.2 Expert judgment .2 Data gathering

.3 Market research .3 Data analysis

.4 Meetings .4 Source selection analysis

.5 Meetings

Outputs .1 Procurement management plan .1 Procurement management plan

.2 Procurement statement of work .2 Procurement strategy

.3 Procurement documents .3 Bid documents

.4 Source selection criteria .4 Procurement statement of work

.5 Make-or-buy decisions .5 Source selection criteria

.6 Change requests .6 Make-or-buy decisions

.7 Project documents updates .7 Independent cost estimates

.8 Change Request

.9 Project documents updates

.10 Organizational process assets updates

110
New Inputs:

Project Charter: The high-level project document includes, but is not limited to:

a. Objectives
b. Project description
c. Summary milestones
d. Preapproved financial resources

Business Documents: The business documents for this process include, but are not limited to:

a. Business case
b. Benefits management plan

Project Documents: The project documents for this process include, but are not limited to:

a. Milestone list (described in 6.2.3.3)


b. Project team assignments (described in 9.3.3.2)
c. Requirements documentation (described in 5.2.3.1)
• Requirements management plan
• Technical requirements that the seller is required to satisfy
• Requirements with contractual and legal implications (including health, safety, security,
performance, environmental, insurance, intellectual property rights, equal employment
opportunity, licenses, permits and other nontechnical requirements
d. Requirements traceability matrix (described in 5.2.3.2)
e. Resource requirements (described in 9.2.3.1)
f. Risk register (described in 11.2.3.1)
g. Stakeholder register (described in 13.1.3.1)

New Tools:

Data Gathering: This includes techniques which can be used for this process, which include, but are not
limited to market research.

Data Analysis: This includes techniques which can be used for this process, but are not limited to make-or-
buy analysis which may use the following, but not limited to:

a. Return on investment (ROI)


b. Internal rate of return (IRR)
c. Discounted cash flow
d. Net present value (NPV)
e. Benefit/cost analysis (BCA)

111
Source Selection Analysis: Commonly used selection methods, which can be used for this process, but are
not limited to:

a. Least cost
b. Qualifications only
c. Quality-based/highest technical proposal score
d. Quality and cost-based
e. Sole source
f. Fixed budget

New Outputs:

Procurement Strategy: Once a decision is made to acquire from outside the project the procurement
strategy determines the project delivery method, the type of legally binding agreement(s) and how the
procurement will advance through the procurement phases. Included in this strategy but not limited to:

a. Delivery methods
• For professional services, this includes
o buyer/services provider with no subcontracting
o buyer/services provider with subcontracting allowed
o joint venture between buyer and services provider
o buyer/services provider acts as the representative
• For industrial or commercial construction this includes, but not limited to
o turnkey
o design/build (DB)
o design bid build (DBB)
o design build operate (DBO)
o build own operate transfer (BOOT)
b. Contract payment types
• Fixed price
• Cost plus
• Incentives and awards
c. Procurement phases

Bid Documents: Commonly used documents for soliciting proposals from prospective sellers, which can be
used for this process, but are not limited to:

a. Request for information (RFI)


b. Request for quote (RFQ)
c. Request for proposal (RFP)

Independent Cost Estimates: A cost estimate prepared either by the procuring organization or an outside
professional estimator to service as a benchmark on proposed responses.

Organizational Process Assets Updates: Assets updated as a result of this process include but are not limited
to information on qualified sellers

112
12.2 Conduct Procurements

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 12.2 Conduct Procurements 12.2 Conduct Procurements


Inputs .1 Procurement management plan .1 Project management plan

.2 Procurement documents .2 Project documents

.3 Source selection criteria .3 Procurement documentation

.4 Seller proposals .4 Seller proposals

.5 Project documents .5 Enterprise environmental factors

.6 Make-or-buy decisions .6 Organizational process assets

.7 Procurement statement of work

.8 Organizational process assets

Tools & Techniques .1 Bidder conference .1 Expert judgment

.2 Proposal evaluation techniques .2 Advertising

.3 Independent estimates .3 Bidder conferences

.4 Expert judgment .4 Data analysis

.5 Advertising .5 Interpersonal and team skills

.6 Analytical techniques

.7 Procurement negotiations

Outputs .1 Selected sellers .1 Selected sellers

.2 Agreements .2 Agreements

.3 Resource calendars .3 Change requests

.4 Change requests .4 Project management plan updates

.5 Project management plan updates .5 Project documents updates

.6 Project documents updates .6 Organizational process assets updates

New Inputs:

Project Management Plan: Project management plan components that can be helpful in this process
include, but not limited to:

a. Scope management plan (described in 5.1.3.1)


b. Requirements management plan (described in 5.1.3.2)

113
c. Communications management plan (described in 10.1.3.1)
d. Risk management plan (described in 11.1.3.1)
e. Procurement management plan (described in 12.1.3.1)
f. Configuration management plan (described in 5.6.1.1)
g. Cost baseline (described in 7.3.3.1)

Enterprise Environment Factors: Factors that can influence this process include, but are not limited to:

a. Local laws and regulations regarding procurements


b. Local laws and regulations ensuring that the major procurements involve local providers and
suppliers
c. External economic environment constraining procurement processes
d. Marketplace conditions
e. Information on relevant past experience with sellers, both good and bad
f. Prior agreements already in place
g. Contract management systems

New Tools:

Data Analysis: This includes techniques which can be used for this process, but are not limited to proposal
evaluation which includes, but not limited to:

a. Ensuring that proposal is complete


b. Response has been received full to the
• Bid documents
• Procurement SOW
• Source selection criteria
• any other documents that went out in the bid package

Interpersonal and team skills: This includes techniques such as negotiation, which is a discussion with the
objective of reaching an agreement.

New Outputs:

Organization Process Assets Updates: Assets that can be updated as a result of this process include, but are
not limited to:

a. Listings of prospective and prequalified sellers


b. Information on relevant experience with sellers, both good and bad

114
12.3 Control Procurements

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 12.3 Control Procurements 12.3 Control Procurements


Inputs .1 Project management plan .1 Project management plan

.2 Procurement documents .2 Project documents

.3 Agreements .3 Agreements

.4 Approved change requests .4 Procurement documentation

.5 Work performance reports .5 Approved change requests

.6 Work performance data .6 Work performance data

.7 Enterprise environmental factors

.8 Organizational process assets

Tools & Techniques .1 Contract change control system .1 Expert judgment

.2 Procurement performance reviews .2 Claims administration

.3 Inspections and audits .3 Data analysis

.4 Performance reporting .4 Inspection

.5 Payment systems .5 Audits

.6 Claims administrations

.7 Records management system

Outputs .1 Work performance information .1 Closed procurements

.2 Change requests .2 Work performance information

.3 Project management plan updates .3 Procurement documentation updates

.4 Project documents updates .4 Change requests

.5 Organizational process assets updates .5 Project management plan updates

.6 Project documents updates

.7 Organizational process assets updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Lessons learned register (described in 4.4.3.1)
115
c. Milestone list (described in 6.2.3.3)
d. Quality reports (described in 8.2.3.1)
e. Requirements documentation (described in 5.2.3.1)
f. Requirements traceability matrix (described in 5.2.3.2)
g. Risk register (described in 11.2.3.1)
h. Stakeholder register (described in 13.1.3.1)

Enterprise Environmental Factors: Factors which can influence this process include, but are not limited to:

a. Marketplace conditions
b. Financial management system
c. Bu i g o ga izatio ’s ode of ethi s

Organization Process Assets: Assets which can influence this process include, but are not limited to
procurement policies.

New Tools:

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Performance reviews
b. Earned value analysis (EVA) (described in 7.4.2.2)
c. Trend analysis (described in 4.5.2.2)

New Outputs:

Closed Procurements: The buyer, usually through its authorized procurement administrator, provides the
seller with formal written notice that the contract has been completed. Requirements for formal
procurement closure are usually defined in the terms and conditions of the contract and are included in the
procurement management plan. Typically, all deliverables should have been provided on time and meet
technical and quality requirements, there should be no outstanding claims or invoices, and all final payments
should have been made. The project management team should have approved all deliverables prior to
closure.

Procurement Documentation Updates: The documentation regarding procurements includes but it not
limited to:

a. Supporting schedules
b. Requested unapproved contract changes
c. Approved change requests
d. Seller-developed technical documentation and other work performance information, such as
deliverables, seller performance reports and warranties
e. Financial documents including invoices and payment records
f. Results of contract-related inspections

116
Close Procurements (5th Ed – Removed)
Note: This Close Procurements process in the 5th edition has been removed. The function of the Close Procurement
process is now captured within Control Procurements and Close Project or Phase.

Research shows that few project managers have the authority to formally and legally close a contract. Project
managers are responsible to determine that work is complete, records are indexed and archived, and responsibilities
are transferred appropriately. Thus, work associated with Close Procurements is now within the Control
Procurement processes.

Process Group PMBOK 5th Edition PMBOK 6th Edition

Closing 12.4 Close Procurements


Inputs .1 Project management plan

.2 Procurement documents

Tools & Techniques .1 Procurement audits

.2 Procurement negotiations

.3 Records management system

Outputs .1 Closed procurements

.2 Organizational process assets updates

117
SECTION 13: Project Stakeholder Management

13.1 Identify Stakeholders

Process Group PMBOK 5th Edition PMBOK 6th Edition

Initiating 13.1 Identify Stakeholders 13.1 Identify Stakeholders


Inputs 1. Project charter .1 Project charter

2. Procurement documents .2 Business documents

3. Enterprise environmental factors .3 Project management plan

4. Organizational process assets .4 Project documents

.5 Agreements

.6 Enterprise environmental factors

.7 Organizational process assets

Tools & Techniques .1 Stakeholder analysis .1 Expert judgment

.2 Expert judgment .2 Data gathering

.3 Meetings .3 Data analysis


.4 Data representation

.5 Meetings

Outputs .1 Stakeholder register .1 Stakeholder register

.2 Change requests

.3 Project management plan updates

.4 Project documents updates

New Inputs:

Business Documents: The business documents for this process include, but are not limited to:

a. Business case (described in 1.2.6.1)


b. Benefits management plan (described in 4.1.1.1)

Project Management Plan: Since the project management plan is not available when initially identifying
stakeholders, once it has been developed, the components that can be helpful in this process include, but
are not limited to:

a. Communications management plan (described in 10.1.3.1)

118
b. Stakeholder engagement plan (described in 13.2.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Change log (described in 4.6.3.3)


b. Issue log (described in 4.3.3.3)
c. Requirements documentation (described in 5.2.3.1)

Agreements: The parties of a procurement agreement are project stakeholders

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to:

a. Questionnaires and surveys (described in 5.2.2.2)


b. Brainstorming techniques (described in 4.1.2.2) including:
• Brainstorming
• Brain writing

Data Analysis: This includes stakeholder analysis techniques which can be used for this process, but are not
limited to:

a. List of stakeholders and relevant information


b. Positions in the organization
c. Roles on the project
d. Expectations, attitudes, their level of support for the project and interest in information about the
project
e. Stakeholder stakes include but not limited to a combination of:
• Interest
• Rights (legal or moral rights)
• Ownership
• Knowledge
• Contribution
• Power/interest, power/influence or impact/influence grid
• Stakeholder cube with multiple dimensions
• Salience model
• Directions of influence (upward, downward, outward, sideward)
• Prioritization
f. Document analysis (described in 5.2.2.3)

Data Representation: A data representation techniques that may be used in this process but is not limited to
stakeholder mapping/representation:

a. Power/interest grid, power influence grid or impact/influence grid.

New Outputs:

Change Requests: During the first iteration of identifying stakeholders, there will not be any change
requests. As stakeholder identification continues throughout the project, new stakeholders, or new
119
information about stakeholders, may result in a change request to the product, project management plan, or
project documents. Change requests are processed for review and disposition through the Perform
Integrated Change Control process.

Project Management Plan Updates: Components of the project management plan that may require a
change request as a result of this process include, but not limited to:

a. Requirements management plan (described in 5.1.1.2)


b. Communications management plan (described in 10.1.3.1)
c. Risk management plan (described in 11.1.3.1)
d. Stakeholder engagement plan (described in 13.2.3.1)

Project Documents Updates: The project documents that may be updated as a result of this process include,
but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Issue log (described in 4.3.3.3)
c. Risk register (described in 11.2.3.1)

13.2 Plan Stakeholder Management changed to Plan Stakeholder Engagement

Process Group PMBOK 5th Edition PMBOK 6th Edition

Planning 13.2 Plan Stakeholder Management 13.2 Plan Stakeholder Engagement


Inputs .1 Project management plan .1 Project charter
.2 Project management plan

.2 Stakeholder register .3 Project documents

.3 Enterprise environmental factors .4 Agreements

.4 Organizational process assets .5 Enterprise environmental factors

.6 Organizational process assets

Tools & Techniques .1 Expert judgment .1 Expert judgment

.2 Meetings .2 Data gathering

.3 Analytical techniques .3 Data analysis

.4 Decision making

.5 Data representation
.6 Meetings

Outputs .1 Stakeholder management plan .1 Stakeholder engagement plan

120
.2 Project documents updates

New Inputs:

Project Documents: The project documents for this process include, but are not limited to:

a. Assumption log (described in 4.1.3.2)


b. Change log (described in 4.6.3.3)
c. Issue log (described in 4.3.3.3)
d. Project schedule (described in 6.5.3.2)
e. Risk register (described in 11.2.3.1)
f. Stakeholder register (described in 13.1.3.1)

Agreements: Coordination involves working with the procurement/contracting group in the organization to
ensure contractors and suppliers are effectively managed.

New Tools:

Data Gathering: This includes techniques which can be used for this process, but are not limited to
benchmarking, by comparing with information from other organizations or other projects that are
considered to be world class.

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Assumptions and constraint analysis (described in 11.2.2.3)


b. Mind mapping (described in 5.2.2.3)
c. Root cause analysis (described in 8.2.2.2)
d. Stakeholder engagement assessment matrix
e. SWOT analysis (described in 11.2.2.3)

Decision Making: This includes techniques which can be used for this process, but are not limited to
prioritization/ranking.

Data Representation: A data representation techniques that may be used in this process but is not limited
to:

a. Mind mapping
b. Stakeholder engagement assessment matrix

New Outputs: None

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13.3 Manage Stakeholder Engagement

Process Group PMBOK 5th Edition PMBOK 6th Edition

Executing 13.3 Manage Stakeholder 13.3 Manage Stakeholder


Engagement Engagement
Inputs .1 Stakeholder management plan .1 Project management plan

.2 Communications management plan .2 Project documents

.3 Change Log .3 Enterprise environmental factors

.4 Organizational process assets .4 Organization Process assets

Tools & Techniques .1 Communication methods .1 Expert judgment

.2 Interpersonal skills .2 Communication skills

.3 Management skills .3 Interpersonal and team skills

.4 Ground rules

.5 Meetings

Outputs .1 Issue log .1 Change requests

.2 Change requests .2 Project management plan updates

.3 Project management plan updates .3 Project documents updates

.4 Project documents updates

.5 Organizational process assets updates

New Inputs:

Project Management Plan: The components of the project management plan that would helpful in this
process include, but not limited to:

a. Communications management plan (described in 10.1.3.1)


b. Risk management plan (described in 11.1.3.1)
c. Stakeholder engagement plan (described in 13.2.3.1)

Project Documents: The project documents for this process include, but are not limited to:

a. Change log (described in 4.6.3.3)


b. Issue log (described in 4.3.3.3)
c. Lessons learned register (described in 4.4.3.1)
d. Stakeholder register (described in 13.1.3.1)

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Enterprise Environment Factors: Factors that can influence this process include, but are not limited to:

a. Organizational culture, political climate, and governance structure of the organization


b. Personnel administration policies
c. Stakeholder risk thresholds
d. Established communication channels
e. Global, regional, or local trends, practices, or habits
f. Geographic distribution of facilities and resources

New Tools:

Expert Judgment: Expertise should be considered from individuals or groups with specialized knowledge in
the following topics:

a. Politics and power structures in the organization and outside the organization
b. Environment and culture of the organization and outside the organization
c. Analytical and assessment techniques to be used for stakeholder engagement processes
d. Communication methods and strategies
e. Characteristics of stakeholders, stakeholder groups and organizations involved in the current project
that may have been involved in previous projects
f. Requirements management, vendor management and change management

Communication Skills: Skills that can be used for this process include, but are not limited to:

a. Communication competence
b. Feedback
c. Nonverbal
d. Presentations

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Conflict management (described in 9.5.2.1)


b. Cultural awareness (described in 10.1.2.6)
c. Negotiation (described in 12.2.2.5)
d. Observation/conversation (described in 5.2.2.6)
e. Political awareness (described in 10.1.2.6)

Ground Rules: Ground rules set the expected behavior for project team members, as well as other
stakeholders, with regard to stakeholder engagement

Meetings: Types of meetings that can be used in the process include, but are not limited to:

a. Decision making
b. Issue resolution
c. Lessons learned and retrospectives
d. Project kick-off
e. Sprint/iteration planning
f. Status updates

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New Outputs: None

13.4 Control Stakeholder Engagement changed to Monitor Stakeholder Engagement

Process Group PMBOK 5th Edition PMBOK 6th Edition

Monitoring and Controlling 13.4 Control Stakeholder 13.4 Monitor Stakeholder


Engagement Engagement

Inputs .1 Project management plan .1 Project management plan

.2 Issue log .2 Project documents

.3 Work performance data .3 Work performance data

.4 Project documents .4 Enterprise environmental factors

.5 Organizational process assets

Tools & Techniques .1 Information Management Systems .1 Data analysis

.2 Expert judgment .2 Decision making

.3 Meetings .3 Data representation


.4 Communication skills

.5 Interpersonal and team skills

.6 Meetings

Outputs .1 Work performance information .1 Work performance information

.2 Change requests .2 Change requests

.3 Project management plan updates .3 Project management plan updates

.4 Project documents updates .4 Project documents updates

.5 Organizational process assets updates

New Inputs:

Enterprise Environment Factors: Factors that can influence this process include, but are not limited to:

a. Organizational culture, political climate, and governance structure of the organization


b. Personnel administration policies
c. Stakeholder risk thresholds
d. Established communication channels
e. Global, regional, or local trends, practices, or habits
f. Geographic distribution of facilities and resources

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Organizational Process Assets: Assets that can influence this process include, but are not limited to:

a. Corporate policies and procedures for social media, ethics and security
b. Corporate policies and procedures for issue, risk, change, and data management
c. Organizational communication requirements
d. Standardized guidelines for development, exchange, storage and retrieval of information
e. Historical information from previous projects

New Tools:

Data Analysis: This includes techniques which can be used for this process, but are not limited to:

a. Alternatives analysis (described in 9.2.2.5)


b. Root cause analysis (described in 8.2.2.2)
c. Stakeholder analysis (described in 13.1.2.3)
d. Stakeholder engagement assessment matrix (described in 13.2.2.3)

Decision making: The techniques that can be used this process include, but are not limited to:

a. Multicriteria decision analysis (described in 8.1.2.4)


b. Voting (described in 5.2.2.4)

Communication Skills: Techniques that can be used for this process include, but are not limited to:

a. Feedback (described in 10.2.2.3)


b. Presentations and other verbal communications (described in 10.2.2.3)

Data Representation: A data representation techniques that is used in this process includes but is not
limited to stakeholder engagement.

Interpersonal and Team Skills: Skills that can be used for this process include, but are not limited to:

a. Active listening (described in 10.2.2.6)


b. Cultural awareness (described in 10.1.2.6)
c. Leadership (described in 9.5.2.1)
d. Networking (described in 10.2.2.6)
e. Political awareness (described in 10.1.2.6)

New Outputs: None

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